Category: Current Investigations
Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading
Erez Law filed three claims against UBS Financial Services Inc. and brokers Christopher Black (CRD# 2186558) and William Huthnance (CRD# 4326519) related to the UBS Financial Services Inc. Yield Enhancement Strategy (YES). Christopher Black was a registered representative of … Continue reading
Erez Law recently filed a FINRA arbitration against Newbridge Securities Corporation and broker John Moy (CRD #848350). The Erez Law client alleges the following in the newly filed FINRA claim: The elderly client informed his broker that he recently sold … Continue reading
Erez Law recently filed a FINRA arbitration against Westpark Capital, Inc. and its broker Miguel Rivera, Jr. (CRD #3060928), who was a registered representative of Westpark Capital, Inc. in Fort Lauderdale, Florida from August 2016 through June 2018. The Erez … Continue reading
Erez Law recently filed a FINRA arbitration claim for damages in excess of $15 million against Raymond James & Associates, Inc. on behalf of a group of mostly Ecuadorian investors who suffered losses due to investments in securities sold to … Continue reading
Erez Law continues to investigate Morgan Stanley Financial Advisor Edward Louis Barger (CRD# 1360282). Erez Law represents a former customer of Barger who alleges that he recommended a reckless and unsuitable concentration of her portfolio in speculative energy sector investments. … Continue reading
A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to Secretary of the Commonwealth of Massachusetts William F. Galvin. “Massachusetts regulators accused Morgan Stanley of dishonest and unethical conduct related … Continue reading
MIAMI, May 6, 2016 – Erez Law, PLC is investigating potential claims against Aequitas Management, LLC (“Aequitas”) promissory notes or Aequitas -affiliated invested funds through other Aequitas related companies between January 2014 and January 2016. If you are an investor in … Continue reading
Erez Law is investigating claims related to Jason Daniel Sayles (CRD #4140191, St. Petersburg, Florida). Sayles recently submitted a FINRA Letter of Acceptance, Waiver and Consent (“AWC”) in which he was assessed a deferred fine of $15,000 and suspended from … Continue reading
Erez Law is investigating claims related to George E. Johnson (CRD# 2245802). Johnson was associated with Newport Coast Securities, Inc., in Chicago, IL, from April 2013 until February 2016. Prior to that, Johnson was associated with Meyers Associates, L.P. (November … Continue reading