Category: Misrepresentation and Omissions
Erez Law is currently investigating Capital Investment Group, Inc. broker Anthony Pitta (CRD# 1958029), who is accused of investment losses due to GWG Holdings Inc. L Bonds. He has been registered with Capital Investment Group, Inc. in Melville, New York, … Continue reading
Were you the victim of former Emerson Equity LLC broker James Kent Jr. (CRD# 2255753)? He has been registered with Emerson Equity LLC in San Mateo, California, from April to May 2021, when he was terminated regarding, “failure to disclose … Continue reading
Erez Law is currently investigating United Planners’ Financial Services Of America A Limited Partner broker John Rhoads Jr. (CRD# 2176003), regarding misrepresentation that led to investment losses. He has been registered with United Planners’ Financial Services Of America A Limited … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker Joao Pinto (CRD# 6298233), who faces a customer complaint for misrepresentations, omissions, and negligence. He has been registered with Spartan Capital Securities, LLC in New York, New York, since 2019. … Continue reading
Fidelity Brokerage Services LLC broker Francisco Aguilera (CRD# 6024692) is accused of misrepresentations leading to alleged investment losses. He has been registered with Fidelity Brokerage Services LLC in Altamonte Springs, Florida, since 2012 and with Fidelity Personal And Workplace Advisors … Continue reading
Erez Law is currently investigating Alexander Capital, L.P. broker Christopher Laffey (CRD# 859962), regarding who is accused of misrepresentation. He has been registered with Alexander Capital, L.P. in New York, New York, since 2015. Christopher Laffey Customer Complaints He has … Continue reading
Were you the victim of investment losses with former UBS Financial Services Inc. broker Parker Brickley (CRD# 6334260)? He was registered with UBS Financial Services Inc. in New York, New York, from 2016 to 2022, when he was terminated related … Continue reading
Erez Law is currently investigating former MML Investors Services, LLC broker Neil Nissen (CRD# 3088956) regarding mispresentations. He was registered with MML Investors Services, LLC in Melville, New York, from 2006 to 2022, when he was terminated related to, “In … Continue reading
Erez Law is currently investigating Morgan Stanley broker Clinton Curtright (CRD# 5921560) regarding misrepresentations related to stock investments. He has been registered with Morgan Stanley in La Jolla, California, since 2014. Clinton Curtright Customer Complaints He has been the subject … Continue reading
There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Howard Woo (CRD# 4606756), who is accused of misrepresentation. He has been registered with UBS Financial Services Inc. in Irvine, California, since 2022. Previously, he … Continue reading