Former Suntrust Investment Services, Inc. broker Todd Gauthier (CRD# 1429968) was accused of customer investment losses due to recommendations to invest in options. He has been registered with Truist Investment Services, Inc. in Alpharetta, Georgia since 2009. Previously, he was … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Western International Securities, Inc. broker Donald Bizub (CRD# 1600090) regarding options losses. He has been registered with Hamilton Grant LLC in Pasadena, California … Continue reading
Erez Law is currently investigating EFG Capital International broker Luis Ferreira (CRD# 6788062) regarding options losses due to investment fraud. He has been registered with EFG Capital International in Miami, Florida since 2017. Luis Ferreira Customer Complaints He has been … Continue reading
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