Category: Misappropriated Funds
![Mutual Securities](https://www.erezlaw.com/wp-content/uploads/2019/01/Mutual-Securities.gif)
Can you recover investment losses due to recommendations by former Mutual Securities, Inc. broker Julie Darrah (CRD# 2102014)? She was registered with Mutual Securities, Inc. in Orcutt, California, from 2013 to 2022, and with National Planning Corporation in Santa Maria, … Continue reading
![Parkland Securities](https://www.erezlaw.com/wp-content/uploads/2023/07/Screenshot-2023-07-19-at-12.02.03-PM.png)
Former Parkland Securities, LLC broker Patrick Thayer (CRD# 5735955) is accused of misappropriating funds that led to investment losses. He was registered with LPL Financial LLC in Lebanon, Ohio, from 2020 to 2022. Previously, he was registered with Parkland Securities, … Continue reading
![UBS Financial Services Inc.](https://www.erezlaw.com/wp-content/uploads/2022/09/Screen-Shot-2022-09-09-at-6.37.21-PM.png)
Can I recover losses due to investments with UBS Financial Services Inc. broker Sean Kennedy (CRD# 5755114)? He has been registered with Rockefeller Financial LLC in New York, New York, since 2022. Previously, he was registered with UBS Financial Services … Continue reading
![LPL Financial LLC](https://www.erezlaw.com/wp-content/uploads/2021/12/LPL-Financial.png)
Former LPL Financial LLC broker John Terzis (CRD# 1805020) regarding was barred by FINRA related to misappropriation of client funds. He was registered with LPL Financial LLC in Skokie, Illinois, from 2008 to 2022, when he was terminated regarding, “Failed … Continue reading
![UBS Financial Services Inc.](https://www.erezlaw.com/wp-content/uploads/2022/09/Screen-Shot-2022-09-09-at-6.37.21-PM.png)
Former UBS Financial Services Inc. broker Clifford Virgin III (CRD# 1878876) faces a customer complaint related to misappropriation. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2021. Previously, he was registered with UBS … Continue reading
![Morgan Stanley](https://www.erezlaw.com/wp-content/uploads/2022/02/Untitled-design-3-e1684339108945.png)
Can I recover losses from investments with former Morgan Stanley broker Doug McKelvey (CRD# 4502849) regarding misappropriated funds? He was registered with Morgan Stanley in Southlake, Texas from 2009 to 2022, when he was terminated regarding “representative’s unauthorized activity and … Continue reading
![Wells Fargo logo](https://www.erezlaw.com/wp-content/uploads/2017/10/Wells-Fargo-logo.png)
Erez Law is currently investigating former Morgan Stanley broker Fernando Silva (CRD# 7326519) regarding misappropriated funds. He was registered with Morgan Stanley in Tucson, Arizona from August 2021 to September 2022, when he was terminated regarding, “Allegations that the representative … Continue reading
![Merrill Lynch](https://www.erezlaw.com/wp-content/uploads/2022/03/Unknown.jpeg)
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ernest Frerking (CRD# 2588177) regarding broker misconduct. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Austin, Texas from 1999 to 2021, when … Continue reading
![First Financial Equity Corporation](https://www.erezlaw.com/wp-content/uploads/2022/08/unnamed-2.jpg)
Barred former First Financial Equity Corporation broker Robert High (CRD# 4568165) faces accusations of misappropriation of funds and forgery. He was registered with First Financial Equity Corporation in Scottsdale, Arizona from 2012 to 2019. In February 2019, the Federal Bureau … Continue reading
![Morgan-Stanley logo](https://www.erezlaw.com/wp-content/uploads/2022/01/Morgan-Stanley.png)
Were you the victim of former Morgan Stanley broker Jesus Rodriguez (CRD# 4888685)? Jesus Rodriguez was registered with Morgan Stanley in El Paso, Texas from 2009 to 2021, when he was terminated regarding, “Allegations regarding registered representative’s use of client … Continue reading