Category: Failure to Supervise
Did you lose money investing with Dawson James Securities, Inc. broker Rebecca Belicek (CRD# 2106922)? Belicek has been registered with Dawson James Securities, Inc. in New York, New York since 2013. Belicek has been the subject of one customer complaint, … Continue reading
Erez Law is currently investigating Lek Securities Corporation broker Ramute Zukas (CRD# 3026650) who suffered investment losses. Zukas has been registered with Lek Securities Corporation in New York, New York since 2002. Zukas has been the subject of one customer … Continue reading
In July 2019, a former client of Spire Securities, LLC won an award in a FINRA arbitration for compensatory damages for $3 million for investment losses due to failure to supervise its broker. The investors were clients of financial advisor … Continue reading
In March 2019, the Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge. According to the SEC order, “Wedbush ignored numerous … Continue reading
Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he … Continue reading
There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was … Continue reading
There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001. Walk has been … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Morgan Stanley financial advisor Jennifer Salmon (CRD# 4730808) regarding failure to supervise customer accounts. Salmon has been registered with UBS Financial Services … Continue reading
Were you the victim of Morgan Stanley financial advisor Richard Less Jr. (CRD# 1964991)? Less has been registered with Morgan Stanley in Paramus, New Jersey since 2009. Less has been the subject of one customer complaint, according to his CRD … Continue reading
Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt … Continue reading