Category: Churning
Former Aegis Capital Corp. broker Jack Terzi (CRD# 7008502) is accused of churning and unsuitable investment recommendations and unauthorized trades. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Levittown, New York, since 2022. Previously, he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Pruco Securities, LLC broker Paul Lekousis (CRD# 2545673), who suffered insurance losses. He has been registered with Pruco Securities, LLC in Downers Grove, Illinois, … Continue reading
Erez Law is currently investigating former Joseph Stone Capital L.L.C. broker Ross Barish (CRD# 3094364), who was recently barred by the SEC related to an alleged fraud resulting in more than $800,000 in losses to retail customers. He was registered … Continue reading
Former Worden Capital Management LLC broker Richard Reynolds (CRD# 2162706) has multiple complaints related to churning, unsuitable, and unauthorized trading, resulting in investment losses. He was registered with SW Financial in Melville, New York, from 2021 to 2022. Previously, he … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. broker Anthony Mastroianni Jr. (CRD# 2151249) regarding excessive trading and churning in customer accounts. He was registered with Meyers Associates, L.P. in New York, New York from 2013 to 2016. In … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Neil Kaplan (CRD# 1615516) regarding excessive trading. He was registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2017. Neil Kaplan Customer Complaints Neil Kaplan has been the subject of … Continue reading
Erez Law is currently investigating former Worden Capital Management LLC broker William Athas (CRD# 3165470) regarding unsuitable investment recommendations and excessive trading. William Athas was registered with SW Financial in Melville, New York from 2020 to 2021. Previously, he was … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Steven Richardson (CRD# 1819383) regarding excessive trading. Steven Richardson has been registered with LPL Financial LLC in Danville, California since 2018. Previously, Steven Richardson was registered … Continue reading
Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding excessive and unauthorized trading in customer accounts, including one elderly customer. Trevor Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California … Continue reading
Former Vorpahl Wing Securities broker Lee Nordstrom (CRD# 2248261) is accused of excessive trading and over concentration of stocks. Lee Nordstrom was registered with LPL Financial LLC in Spokane, Washington from June to November 2020. Previously, Lee Nordstrom was registered … Continue reading