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
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 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
A FINRA arbitration panel in San Juan found UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico liable to an elderly investor, Juan Burgos Rosado, whose losses in closed-end funds sold by UBS had reached $737,000 four … Continue reading