Author: Krysta Fioranelli
Erez Law is currently investigating former National Securities Corporation broker John Gaffney (CRD# 2827905) who is accused of unsuitable investment recommendations. He was registered with Cetera Advisors LLC in Wildwood, Florida from January to October 2022. Previously, he was registered … Continue reading
There are options for customers of Cambridge Investment Research, Inc. broker James Fay (CRD# 2083701) who suffered energy investment losses. He has been registered with Cambridge Investment Research, Inc. in State College, Pennsylvania since 2008. James Fay Customer Complaints He … Continue reading
There are options for customers of United Planners’ Financial Services Of America A Limited Partner broker Richard Bailey (CRD# 1260597) who suffered investment losses due to variable annuities. He has been registered with United Planners’ Financial Services Of America A … Continue reading
Were you the victim of Capital Investment Group, Inc. broker Joseph Beam (CRD# 5407778) regarding who is accused of unsuitable investment recommendations? He has been registered with Capital Investment Group, Inc. in Flat Rock, North Carolina since 2013. Joseph Beam … Continue reading
Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he … Continue reading
Former Thrivent Investment Management Inc. broker Jonathan Hendrickson (CRD# 4683563) accused of variable annuity investment losses. He has been registered with Thrivent Investment Management Inc. in Northborough, Massachusetts from 2004 to 2022. Jonathan Hendrickson Customer Complaints He has been the … Continue reading
In October 2022, FINRA fined UBS Securities LLC $2.5 million for alleged violations related to the firm’s failure to deliver positions that resulted in tens of thousands of short-selling violations. According to the order, between 2009 and 2018, UBS Securities … Continue reading
Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading
Erez Law is currently investigating Aegis Capital Corp. related to the sale of variable interest rate structured products (VRSPs) by registered representatives to the firm’s retail investors. Aegis Capital Enters Into Content Agreement with SEC In July 2022, Aegis Capital … Continue reading
Erez Law recently filed a FINRA arbitration against PFS Investments Inc. for stocks and futures trading losses by PFS Investments Inc. Broker Kevin Hobbs (CRD #4267482), who was a registered representative of PFS Investments Inc. in Lake Worth, Florida between … Continue reading