Category: Misrepresentation and Omissions
Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Pronovost (CRD# 1990612) regarding unsuitable investments and misrepresentations. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. It is alleged that Pronovost recommended … Continue reading
Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former The Leaders Group, Inc. financial advisor Mark Reinking (CRD# 1602957). Reinking was registered with The Leaders Group, Inc. in Littleton, Colorado from … Continue reading
Were you the victim of NJLI Advisors L.L.C. financial advisor and owner Michael Siegel (CRD# 1950871)? In February 2018, the New Jersey Bureau of Securities sanctioned Siegel to $100,000 in civil and administrative penalties and fines and expelled him from … Continue reading
In February 2018, a former client of Legend Securities, Inc. won an award in a FINRA arbitration for compensatory damages for $161,970 plus 4% interest per year and $20,000 in punitive damages, for a total award of $181,970. The investors … Continue reading
Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Craig Mardany (CRD# 4356113)? Mardany has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, California since 2009. Mardany has been … Continue reading
In February 2018, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for $229,250.00 in compensatory damages plus 3% interest per annum plus $25,000.00 in attorneys’ fees for losses sustained from investments in … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC financial advisor Ahmed Gheith (CRD# 5783951) regarding fraud, negligent misrepresentations, negligence, and unjust enrichment. Gheith was registered with the following brokerage firms during the past few years: Paulson Investment Company … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) regarding excessive trading, misrepresentation and omission of material facts, and unsuitable investment recommendations, and use of discretion in customer accounts. Buck was … Continue reading
Erez Law is currently investigating former Buckman, Buckman & Reid, Inc. financial advisor Glenn King (CRD# 2191091) regarding misrepresentation regarding investments and losses sustained to elderly and retired customers. King was registered with the following firms: Buckman, Buckman & Reid, … Continue reading