Category: ETF/Inverse ETF Articles
Erez Law is currently investigating former LPL Financial LLC financial advisor Cory Brunell (CRD# 3260340) regarding losses sustained from unsuitable recommendations in inverse exchange traded funds (ETFs). Brunell was registered with LPL Financial LLC in Valley Springs, California from 2007 … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. financial advisor Shawn Derek Slaydek (CRD# 2995404) regarding losses from investments in the high risk energy sector and triple leveraged exchange traded funds (ETFs). Slaydek has been registered … Continue reading
Erez Law is currently investigating recommendations from brokerage firms across the country who recommended investments in ProShares Ultra VIX Short Term Futures Exchange Traded Funds (UVXY). UVXY provides leveraged exposure to the S&P 500 VIX Short-Term Futures Index, which measures … Continue reading
In February 2017, a former Sigma Financial Corporation and Sigma Planning Corporation client won an award in a FINRA arbitration for compensatory damages in the amount of $295,000 for unsuitable sales of leveraged exchange-traded funds (ETFs) and failure to execute … Continue reading
Erez Law is currently investigating The GMS Group, LLC financial advisor Jason Figueroa (CRD# 5062799) regarding unsuitable trading in nontraditional exchange traded funds (ETFs) in customer accounts. Figueroa was registered with The GMS Group, LLC in Boca Raton, Florida from … Continue reading
Erez Law recently filed a FINRA claim against Wells Fargo financial advisor Jose Antonio Vidal (CRD# 2858442) regarding unsuitable investments between 2009 through 2016. Vidal has been registered with Wells Fargo in Coral Gables, Florida since 2009 and was previously … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisors across the country on behalf of customers who experienced losses due to unsuitable investments in inverse exchange-traded funds (inverse ETFs). Inverse ETFs use short selling and other advanced investment techniques to … Continue reading