Category: Misrepresentation and Omissions

Erez Law is currently investigating former Pruco Securities, LLC broker Jermaine Benjamin (CRD# 6152653) regarding unauthorized transactions. He was registered with Raymond James Financial Services, Inc. in St Petersburg, Florida from 2020 to 2022. Previously, he was registered with Pruco … Continue reading →

Erez Law is currently investigating former Wells Fargo Advisors Financial Network, LLC broker Adam Marquardt (CRD# 5307192) who was recently barred by FINRA related to investment losses. He has been registered with Cetera Advisors LLC in Rochester, Minnesota from 2020 … Continue reading →

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former J.P. Morgan Securities LLC broker Robert Klein (CRD# 1254422) regarding suitability concerns related to managed accounts. He has been registered with J.P. … Continue reading →

Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Glen Gatlin (CRD# 1734089) who is accused of misrepresentation? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Worth, Texas since 2010.  … Continue reading →

Were you the victim of UBS Financial Services Inc. broker Donald Mahoney (CRD# 1233362) regarding misrepresentation? He has been registered with UBS Financial Services Inc. in Philadelphia, Pennsylvania since 2012. He was terminated from Laverell, Reynolds Securities, Inc. in 1987 … Continue reading →

Former Raymond James Financial Services Advisors, Inc. broker Matthew Lawson (CRD# 2869619) accused of misrepresentation. He has been registered with Cadaret, Grant & Co., Inc. in Chattanooga, Tennessee since 2020. Previously, he was registered with Raymond James Financial Services Advisors, … Continue reading →

Erez Law is currently investigating former Raymond James Financial Services, Inc. and LPL Financial LLC broker William Winchester (CRD# 4404327) regarding misrepresentations. He was registered with Cadaret, Grant & Co., Inc. in Chattanooga, Tennessee from 2020 to 2021. Previously, he … Continue reading →

Erez Law is currently investigating former Taylor Capital Management Inc. broker Dean Nowak (CRD# 1091819) regarding misrepresentations and omissions. He has been registered with Newbridge Securities Corporation in Winter Park, Florida since 2019. Previously, he was registered with Taylor Capital … Continue reading →

There are options for clients of Raymond James Financial Services, Inc. broker Kathleen Muldoon (CRD# 867826) who suffered losses due to misrepresentation. She has been registered with Raymond James Financial Services, Inc. in Dallas, Texas since 1993.  Kathleen Muldoon Customer … Continue reading →

Were you the victim of former Berthel Fisher & Company Financial broker Steve Cummings (CRD# 2274017) who is accused of unsuitable and misrepresented investment recommendations? He was registered with Berthel Fisher & Company Financial in Fort Deposit, Alabama from 2010 … Continue reading →