Category: Current Investigations
Erez Law and Aldarondo & Lopez Bras recently filed a claim against Santander Securities, LLC, and UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered $1.2 million in … Continue reading
Erez Law is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $5,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding claims regarding AIC promissory notes and stock. In a 2011 complaint filed by the SEC against AIC, Inc., Community Bankers Securities, LLC, and Nicholas D. Skaltsounis, the SEC alleged that Skaltsounis devised and orchestrated … Continue reading
Erez Law is investigating claims regarding Reginald Maurice Berthiaume Jr. (CRD #2702903, Orlando, Florida) , also known as Reggie Berthiaume. Berthiaume recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine … Continue reading
Erez Law is investigating claims regarding James “Jeb” Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that Bashaw was terminated for several … Continue reading
Erez Law is investigating claims regarding Newport Coast Securities, Inc. (CRD #16944, New York, New York), Marc Anthony Arena (CRD #2754309, Hicksville, New York), Donald Andrew Bartelt (CRD #1377935, Cave Creek, Arizona), Antonio Costanzo (CRD #2580765, Chesapeake, Virginia), Andre Vincent … Continue reading
On Tuesday, September 30, 2014, after the markets closed, U.S. District Judge Royce Lamberth issued an order dismissing lawsuits filed by Fairholme Capital Management LLC, Perry Capital LLC, and other shareholders, which claimed that the government acted illegally in 2012 … Continue reading
Erez Law is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA’s Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber was registered with Century Securities Associates, … Continue reading
Erez Law is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2012031460902. Cortez … Continue reading
Erez Law is investigating claims regarding William Bradford Coolidge (CRD #1636957, Cordova, Tennessee), also known as Brad Coolidge and William B. Coolidge. Coolidge recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with … Continue reading