Former Meyers Associates, L.P. financial advisor Bruce Meyers (CRD# 1045447) was barred by FINRA following allegations that he sent, or caused to be sent, misleading and unbalanced advertising materials via email to prospective investors. Meyers was registered with Meyers Associates, … Continue reading
According to a new story in Investment News, former Morgan Stanley broker Angel Aquino-Velez, sold his clients on the sales tax revenue-based Puerto Rico Cofina bonds. The bonds were sold to investors as attractive options with triple tax-free status but … Continue reading
Erez Law is currently investigating former Herbert J. Sims & Co. Inc. financial advisor Larry Wolfe (CRD# 502361) regarding use of discretion in customer accounts. Wolfe has been registered with Stoever, Glass & Company Inc. in Boca Raton, Florida from … Continue reading
Erez Law is currently investigating Cabot Lodge Securities LLC financial advisor Robert Tweed (CRD# 2339324) regarding losses from a pooled investment fund. Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since 2015. Previously, he was … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Peter Doyle (CRD# 2370593) regarding the use of trading discretion in a customer’s account. Doyle was registered with Morgan Stanley in Washington, DC from 2009 to 2016, when he was … Continue reading
In 2012, the suitability rules the Financial Industry Regulatory Authority (FINRA) uses changed. Rule 2111 clarified and codified many precedents that were previously upheld and interpreted through case law. Rule 2111 replaces NASD Rule 2310 and offers clear standards that … Continue reading
Erez Law is investigating claims related to Jason Daniel Sayles (CRD #4140191, St. Petersburg, Florida). Sayles recently submitted a FINRA Letter of Acceptance, Waiver and Consent (“AWC”) in which he was assessed a deferred fine of $15,000 and suspended from … Continue reading
Erez Law is investigating claims related to George E. Johnson (CRD# 2245802). Johnson was associated with Newport Coast Securities, Inc., in Chicago, IL, from April 2013 until February 2016. Prior to that, Johnson was associated with Meyers Associates, L.P. (November … Continue reading
Erez Law is investigating claims related to Angel E. Aquino-Velez (CRD # 2687333), a Miami, Florida, broker who has been registered with Morgan Stanley since February 2010. Aquino previously was registered with Merrill Lynch, Pierce, Fenner & Smith, Inc. in … Continue reading
Erez Law continues to investigate claims related to Paul V. Blum (CRD # 735003), a West Palm Beach, Florida, broker who was registered with RBC Capital Markets, LLC, from October 2008 until October 2015. Blum currently is not registered with … Continue reading