Category: Current Investigations
Erez Law is investigating claims regarding Jerry Irvin Chancy (CRD #1787712, Savannah, Tennessee). Chancy recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043629801. Chancy formerly was associated … Continue reading
A FINRA arbitration panel in San Juan found UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico liable to an elderly investor, Juan Burgos Rosado, whose losses in closed-end funds sold by UBS had reached $737,000 four … Continue reading
Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA … Continue reading
Erez Law is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 … Continue reading
Erez Law is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest, in restitution to a … Continue reading
Erez Law is investigating claims regarding David Lee Shafranek (CRD #2919901, Long Beach, New York). Shafranek recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business … Continue reading
Erez Law is investigating claims regarding Susan Lynne Ellerbrook (CRD #2601238, Greenwood, IN). Ellerbrook recently submitted an AWC in which she was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for … Continue reading
Erez Law is investigating claims regarding Ted Wayne Cadwallader (CRD #3256070, North Tonawanda, New York). Cadwallader recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2014042259701. Cadwallader … Continue reading
Erez Law is investigating claims involving Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) and David Bradley Tysk (CRD #1782289, Eden Prairie, Minnesota). Ameriprise recently was censured and fined $100,000. Tysk recently was fined $50,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding Marc William Evans (CRD #859585, Tulsa, Oklahoma) for selling investments in Global Safety Labs, Inc., and several real-estate related limited partnerships, none of which were approved by his member firm. Evans recently submitted an … Continue reading