Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Jaynes (CRD# 5555100) regarding unsuitable investment recommendations in commodities. Jaynes has been registered with Wells Fargo Clearing Services, LLC in Plano, Texas since 2019. Previously, … Continue reading
Did you lose money investing with LPL Financial LLC broker James Frawley (CRD# 2867752)? Frawley has been registered with LPL Financial LLC in Santa Monica, California since 2004. Frawley has been the subject of one customer complaint in 2021, according … Continue reading
Were you the victim of Spartan Capital Securities, LLC broker John Cullen (CRD# 5062835)? Cullen has been registered with Spartan Capital Securities, LLC in Garden City, New York since 2013. Cullen has been the subject of three customer complaints between … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with MML Investors Services, LLC LLC broker Michael Nigro (CRD# 2097646). Nigro has been registered with MML Investors Services, LLC in New York, New … Continue reading
Did you lose money investing with former UBS Financial Services Inc. broker George Vilfordi III (CRD# 704800)? Vilfordi has been registered with Ameriprise Financial Services, LLC in Dallas, Texas since 2018. Previously, Vilfordi was registered with UBS Financial Services Inc. … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Tiffany Callahan (CRD# 5145572)? Callahan has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2015. Callahan has been the subject of one customer complaint, according … Continue reading
Erez Law is currently investigating former Fortune Financial Services, Inc. broker Forrest Jones (CRD# 4880765) regarding unsuitable investment recommendations. Jones has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Conroe, Texas since 2018. Previously, Jones was registered … Continue reading
There are options for clients who suffered investments due to recommendations by Concorde Investment Services, LLC broker David Zupek (CRD# 2250376). Zupek has been registered with Concorde Investment Services, LLC and Concorde Asset Management, LLC in Racine, Wisconsin and The … Continue reading
There are options for clients who suffered investment losses due to recommendations by Raymond James & Associates, Inc. broker Robert Jamail Sr. (CRD# 1877838). Jamail has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2013. Jamail … Continue reading
In May 2020, Morgan Stanley agreed to pay a $5 million penalty to settle with the Securities and Exchange (SEC), which charged the brokerage firm with providing misleading information to its clients in regard to trade execution services and transaction … Continue reading