Category: Mutual Funds
Were you the victim of Madison Avenue Securities, LLC broker Vincent Virga (CRD# 5070668)? Virga was registered with Madison Avenue Securities, LLC in Bayonne, New Jersey from 2009 to 2021. In December 2020, FINRA suspended Virga for one month and … Continue reading
There are options for clients of former Folger Nolan Fleming Douglas broker Marc Lippman (CRD# 1575995) who suffered investment losses. Lippman has been registered with Folger Nolan Fleming Douglas Incorporated in Washington, D.C. from 2009 to 2021, when he was … Continue reading
Erez Law is currently investigating former AXA Advisors, LLC broker Jenna Kang (CRD# 6334679) regarding mutual fund losses. Kang was registered with AXA Advisors, LLC in Los Angeles, California from 2016 to 2020, when she was terminated regarding, “During a … Continue reading
Were you the victim of Fidelity Brokerage Services LLC broker Anthony Mesquit (CRD# 5210309)? Mesquit has been registered with Fidelity Brokerage Services LLC in Jacksonville, Florida since 2007. Mesquit has been the subject of two customer complaints between 2018 and … Continue reading
Erez Law is currently investigating Securities America, Inc. brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund. In March 2021, FINRA sanctioned Securities America, Inc. to pay a $100,000 fine, as well as $235,979.77 … Continue reading
Did your J.W. Cole Financial, Inc. broker recommend you invest in LJM funds? If your J.W. Cole Financial, Inc. broker sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you … Continue reading
In March 2021, FINRA sanctioned Cambridge Investment Research, Inc. and sanctioned the firm to pay a $400,000 fine, as well as $3,134,354.82 in restitution plus interest. FINRA also required the firm to issue a certification signed by an officer and … Continue reading
Erez Law is currently investigating Merrill Lynch broker Kenneth Pesavento (CRD# 360864) regarding mutual fund investment losses. Pesavento has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oak Brook, Illinois since 1978. Pesavento has been the subject … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Steven Lyons (CRD# 5343894) regarding mutual fund losses. Lyons has been registered with Raymond James Financial Services, Inc. in Newton, New Jersey since 2008. Lyons has been the subject … Continue reading
Did you lose money investing with former UBS Financial Services Inc. broker Ricardo Armijo (CRD# 2694904)? Armijo has been registered with Raymond James & Associates, Inc. in Birmingham, Michigan since 2019. Previously, Armijo was registered with UBS Financial Services Inc. … Continue reading