Category: Bonds
Erez Law is currently investigating Capital Investment Group, Inc. broker Eugene Thompson (CRD# 4350479) regarding GWG Holdings, Inc. investment losses. He has been registered with Capital Investment Group, Inc. in Wallace, North Carolina since 2014. Eugene Thompson Customer Complaints He … Continue reading
Erez Law is currently investigating former Cabot Lodge Securities LLC broker Ann Werts (CRD# 5057784) regarding GWG Holdings Inc. L Bonds losses. She has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado since 2021 and with AE Wealth … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Justin Connors (CRD# 2805785) regarding GWG Holdings L Bond losses. He has been registered with IFP Securities, LLC (Independent Financial Partners) in Cocoa Beach, Florida since 2009. Justin Connors GWG L … Continue reading
Morgan Stanley broker Nicholas Sberlati (CRD# 4953286) faces a corporate bond investment complaint. Sberlati has been registered with Morgan Stanley in Chicago, Illinois since 2009. Sberlati has been the subject of one customer complaint, according to his CRD report: August … Continue reading
Erez Law is currently investigating former Stoever, Glass & Company Inc. broker Howard Leon (CRD# 2158589) regarding municipal bond losses. Leon has been registered with Newbridge Securities Corporation in Boca Raton, Florida since April 2020. Previously, Leon was registered with … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Jeffrey Eiler (CRD# 1028716) who suffered investment losses. Eiler has been registered with Wells Fargo Clearing Services, LLC in Fort Lauderdale, Florida since 2006. Eiler has been the … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Debra Lambert (CRD# 2238553) regarding municipal bond losses. Lambert was registered with Raymond James & Associates, Inc. in The Villages, Florida from 2014 to 2017. Previously, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. and Morgan Stanley financial advisor John Batista Bocchino (CRD# 2876260), who was recently barred by FINRA regarding concealing approximately $190 million in Venezuelan bond trades from his former member firm … Continue reading