Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated recently terminated broker Charles Kenahan (CRD# 1351974) regarding claims of unauthorized and excessive trading. Kenahan was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boston, Massachusetts from 2007 to July 2019, … Continue reading
J.P. Morgan Securities LLC financial advisor Justin Lopez (CRD# 5162263) is accused of excessive trading and unsuitable and unauthorized trades. Lopez has been registered with J.P. Morgan Securities LLC in Mineola, New York since 2016. Lopez has been the subject … Continue reading
Former Morgan Stanley financial advisor Kevin Smith (CRD# 1363302) barred by FINRA regarding discretionary trading in customer accounts. Smith was registered with Morgan Stanley in Minneapolis, Minnesota from 2007 to November 2016, when he was terminated regarding, “Allegations related to … Continue reading
Were you the victim of First Standard Financial Company LLC financial advisor Arthur Coffey (CRD# 2553466)? Coffey has been registered with First Standard Financial Company LLC in Miller Place, New York since 2016. Previously, Coffey was registered with Legend Securities, … Continue reading
Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Paul Colchamiro (CRD# 2039083) regarding excessive and unauthorized trading in customer accounts. Colchamiro has been registered with Oppenheimer & Co. Inc. in Melville, New York since 1998. In March … Continue reading
In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Westpark Capital, Inc. financial advisor Lawrence Fawcett Jr. (CRD# 5851474). Fawcett was registered with Westpark Capital, Inc. in Los Angeles, California from … Continue reading
There are options for customers of former Salomon Whitney Financial financial advisor Douglas Leone (CRD# 2453784) regarding unsuitable recommendations and excessive trading involving multiple customers. Leone was registered with Salomon Whitney Financial in Melville, New York from 2013 until March … Continue reading