Category: Broker Misconduct
The Securities and Exchange Commission recently approved the implementation of FINRA Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant’s agreement not to oppose expungement of the dispute from the brokers’ public record. Once … Continue reading
Erez Law is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA’s Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber was registered with Century Securities Associates, … Continue reading
Erez Law is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2012031460902. Cortez … Continue reading
In a recent speech, Daniel Gallagher, a member of the Securities and Exchange Commission stated that a large number investment advisers may be violating securities law and committing other misconduct without consequence because the Securities and Exchange Commission does not … Continue reading
Erez Law is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with … Continue reading
Erez Law is investigating claims regarding Allen Hugo Reichman (CRD #1002285, Irvington, New York), also known as Allen H. Reichman. Reichman recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA … Continue reading