Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of three elderly brothers who suffered more than $200,000 in losses related to … Continue reading
Author: Jeff Erez
Erez Law is investigating claims regarding James “Jeb” Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that Bashaw was terminated for several … Continue reading
Erez Law is investigating claims regarding Newport Coast Securities, Inc. (CRD #16944, New York, New York), Marc Anthony Arena (CRD #2754309, Hicksville, New York), Donald Andrew Bartelt (CRD #1377935, Cave Creek, Arizona), Antonio Costanzo (CRD #2580765, Chesapeake, Virginia), Andre Vincent … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 77-year-old retired professor who suffered more than $1 million in losses … Continue reading
Erez Law is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of … Continue reading
Erez Law is investigating claims regarding Claus Christoph Foerster (CRD #1912949, Spartanburg, South Carolina). Foerster recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he permanently was barred from association with any FINRA member firm. See … Continue reading
Erez Law is investigating claims regarding Ann Maria Ferrao (CRD #4481123, Miami, Florida). Ferrao recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See … Continue reading
Erez Law is investigating claims regarding Richard Andrew Christensen Jr.(CRD #875932, St. Charles, Missouri). Christensen recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member … Continue reading
Erez Law is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $7,500 and suspended from association with any FINRA member … Continue reading
The Securities and Exchange Commission recently charged three Morgan Stanley entities with misleading investors in a two residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. In anticipation of the charges, Morgan Stanley submitted an offer of … Continue reading