Category: Misrepresentation and Omissions
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
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Thomas Buck (CRD# 1024868) regarding false representations and omissions to clients regarding fees and commissions charged in their accounts and unauthorized trades in client accounts … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Lorena Esteva (CRD# 2170595) regarding unauthorized trading, an unapproved customer credit line, and misrepresentation. Esteva was registered with UBS Financial Services Inc. in Miami, Florida from November 2015 … Continue reading
Erez Law is currently investigating Western International Securities, Inc. broker Peter Steege (CRD# 1060713) who faces multiple customer complaints. Steege has been registered with Western International Securities, Inc. in Denver, Colorado since 2002. Steege has been in the securities industry … Continue reading
Erez Law is currently investigating VFG Securities, Inc. financial advisor Mark Trewitt (CRD# 1364490) regarding losses suffered from investments in Aequitas Income Opportunity Fund II, Vertical Capital Recovery Fund, and Cole Capital Income Trust. Trewitt has been registered with VFG … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. financial advisor Gregg Templeton (CRD# 2412775) regarding misrepresentation and omissions. Templeton was registered with Oppenheimer & Co. in New York, New York from 2007 to 2015. Then, he was employed … Continue reading
Erez Law is currently investigating former Concorde Investment Services, LLC financial advisor Jill Tramontano (formerly known as Jill Cody) (CRD# 4333419) regarding misrepresentation, forgery and allowing a suspended broker to engage in securities transactions with his customers while suspended. Tramontano … Continue reading
Erez Law is currently investigating Next Financial Group, Inc. financial advisor Dion Rey Padilla (CRD# 4432230) regarding misrepresentations regarding the sale of variable annuities. Padilla was registered with Next Financial Group, Inc. San Antonio, Texas from 2006 to 2017. FINRA … Continue reading
Erez Law is currently investigating former Lincoln Investment financial advisor Walter Joseph Marino (CRD# 2121623) regarding misrepresentation, suitability and excessive commissions. Marino was registered with Benjamin Securities, Inc. in Hauppauge, New York from November to December 2016. He was previously … Continue reading
Erez Law is currently investigating Morgan Stanley financial adviser Joseph Patrick McGinley (CRD# 327656) regarding misrepresentation and securities violations related to energy investments. McGinley has been registered with Morgan Stanley in Philadelphia, Pennsylvania since 2011. It is alleged that McGinley … Continue reading