Category: Negligence Articles
Erez Law is currently investigating Rhodes Securities owner and chairman Jim Gordon Rhodes (CRD# 813870), CEO J. Gordon Rhodes (CRD# 4763582) and president and COO Marilyn Zehntner (CRD# 2645697) regarding breach of fiduciary duty, negligence, and breach of contract. Rhodes … Continue reading
Former Stifel, Nicolaus & Company, Inc. financial advisor Jon Schmidhammer (CRD# 1548931) barred by the Securities and Exchange Commission (SEC) regarding negligence, unsuitable management, unauthorized trading and securities violations related to a penny stock offering. Schmidhammer was registered with Stifel, … Continue reading
Erez Law is currently investigating Century Securities Associates, Inc. financial advisor Bernard McLaughlin Jr. (CRD# 601178) regarding negligence and breach of fiduciary duty related to energy investments. Mclaughlin has been registered with Century Securities Associates, Inc. in Chaska, Minnesota since … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC broker Kevin Graetz (CRD# 1935982) regarding involvement in the Belize Infrastructure Fund I, LLC, which is believed to be a Ponzi scheme. Graetz was registered with Paulson Investment Company LLC … Continue reading
Did you lose money investing with former SW Financial financial advisor Yousuf Saljooki (CRD# 5045123)? Saljooki was registered with Worden Capital Management LLC in Melville, New York from December 2017 until April 2018, when he was terminated regarding, “RR failed … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Paulson Investment Company LLC broker Minish Hede (aka Minish “Joe” Hede) (CRD# 2389098). Hede was registered with Paulson Investment Company LLC in … Continue reading
Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt … Continue reading
In April 2018, a former client of UBS Financial Services Inc. won an award in a FINRA arbitration for compensatory damages for $805,120 for losses sustained from negligence and other acts of securities fraud. The investors were clients of financial … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former The Leaders Group, Inc. financial advisor Mark Reinking (CRD# 1602957). Reinking was registered with The Leaders Group, Inc. in Littleton, Colorado from … Continue reading
Did you lose money investing with Money Concepts Capital Corp. financial advisor Craig Sutherland (CRD# 2001873)? Sutherland has been registered with Money Concepts Capital Corp. in Columbus, Ohio since 1994. In January 2018, FINRA suspended Sutherland for 15 days and … Continue reading