In June 2022, a former client of UBS Financial Services Inc. won an award in a FINRA arbitration for compensatory damages for $975,606 for losses sustained due to brokers who misled clients who didn’t understand the risky UBS Yield Enhancement … Continue reading
Erez Law is interested in speaking with investors who may have suffered options losses due to investments with EFG Capital International broker Kenia Rocha (CRD# 5629596). He has been registered with EFG Capital International in Miami, Florida since 2009. Kenia … Continue reading
Erez Law is currently investigating EFG Capital International broker Carlos Estima (CRD# 5626848) regarding options investment due to investment fraud. He has been registered with Insigneo Securities, LLC in Miami, Florida since 2020. Previously, he was registered with EFG Capital … Continue reading
Erez Law is currently investigating Dominion Investor Services, Inc. broker Lance Walston (CRD# 4440958) regarding options investment losses. He has been registered with Dominion Investor Services, Inc. in San Antonio, Texas since 2017. Lance Walston Customer Complaints Lance Walston has … Continue reading
Erez Law is currently investigating Morgan Stanley broker Michael Spector (CRD# 2857657) regarding options losses due to investment fraud. He has been registered with Morgan Stanley in Atlanta, Georgia since 2009. Michael Spector Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Morgan Stanley broker Mark Payne (CRD# 6803556) regarding unsuitable options trading strategies. Mark Payne has been registered with Morgan Stanley in Roseville, California since 2017. Mark Payne Customer Complaints Mark Payne has been the subject … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Roderick Lipsey (CRD# 4270444). Roderick Lipsey has been registered with UBS Financial Services Inc. in Washington, DC since … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rawad Alame (CRD# 5376696). Rawad Alame was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
Can you recover losses from investments with Benjamin F. Edwards & Company, Inc. broker Charles Blatz (CRD# 706158)? Blatz has been registered with Benjamin F. Edwards & Company, Inc. in Red Bank, New Jersey since 2012. Blatz has been the … Continue reading
Were you the victim of Avantax Investment Services, Inc. broker Brian Stephens (CRD# 2777382)? Stephens has been registered with Avantax Investment Services, Inc. in Baytown, Texas since 1996. Stephens has been the subject of one customer complaint, according to his … Continue reading