Category: Churning
Erez Law is currently investigating former Aegis Capital Corp. financial advisor Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York since May 2017. Previously, … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. financial advisor Leon Rehak (CRD# 2331058) regarding excessive trading and churning in customer accounts. Rehak has been registered with LPL Financial LLC in Pompano Beach, Florida since October 2016. … Continue reading
Erez Law is currently investigating Worden Capital Management LLC financial advisor Michael Stanton (CRD# 1448072) regarding failure to supervise a registered representative from churning and excessive trading in an elderly, blind and disabled customer’s account. Stanton has been registered with … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Tim Couch (CRD# 4073942) regarding unsuitable recommendations, misrepresentations and high frequency trading in customer accounts. Couch has been registered with Dempsey Lord Smith, LLC in Dawsonville, Georgia since August … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. financial advisor Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April … Continue reading
Erez Law is currently investigating former Investment Planners, Inc. financial advisors William Brunner (CRD# 2610348) and Kelly Gunn (CRD# 5332047) regarding churning and unauthorized trades in customer accounts. Brunner was registered with Investment Planners, Inc. in Huntington, New York from … Continue reading
Erez Law is currently investigating former First Financial Equity Corporation financial advisor Robert Kerrigan Sr. (CRD# 268516) regarding participating in outside business activities. Kerrigan has been registered with First Financial Equity Corporation in Scottsdale, Arizona from 2008 to 2015. In … Continue reading
Erez Law is currently investigating former Harbor Light Securities, LLC financial advisor Christopher Goslin (CRD# 1720162) regarding outside business activities. Goslin was registered with Harbor Light Securities, LLC in Tampa, Florida from 2012 to 2016. Previously, he was registered with … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor James Cox (CRD# 2365633) regarding churning in customer accounts. Churning is an improper and unethical practice that occurs when a broker excessively trades in a client’s account … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor David Leonard Sheppard (CRD# 2527279) regarding excessive trading and churning in customer accounts. Sheppard was with Meyers Associates, L.P. in New York, New York from December 2015 to October … Continue reading