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
Were you the victim of Merrill Lynch broker Thomas Moore (CRD# 2526192)? Moore has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York since 2006. Moore has been the subject of five customer complaints … Continue reading
In February 2021, Financial Industry Regulatory Authority (FINRA) ordered Triad Advisors to pay a $150,000 fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges, as well as not making timely … 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
Were you the victim of Ameriprise Financial Services, Inc. broker Angel Bardeche (CRD# 4698117)? Bardeche has been registered with Ameriprise Financial Services, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The registered representative was terminated … Continue reading
In December 2020, the Securities and Exchange Commission (SEC) settled charges with Voya Financial Advisors, Inc. regarding the firm’s “disclosure failures and misleading statements to clients regarding investment advice it gave about mutual funds, illiquid alternative investments and cash sweep … Continue reading
Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Robyn Simons (CRD# 1538638)? Simons was registered with Berthel, Fisher & Company Financial Services, Inc. in Layton, Utah from 2008 to 2017. Simons has been the subject … Continue reading
There are options for clients of former LPL Financial LLC broker James Couture (CRD# 4406284) who suffered investment losses. He was registered with LPL Financial LLC in Worcester, Massachusetts, from 2009 to 2020, when he was terminated regarding “Altered identifying … Continue reading