Erez Law is currently investigating former LPL Financial LLC broker Michael Graham (CRD# 3263494) regarding private securities losses. He was registered with LPL Financial LLC in El Paso, Texas, from 2019 to 2025, when he was terminated regarding, “Failed to … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Sergio Rovner (CRD# 2884441) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2014. In December 2005, NASD fined him $10,000 and … Continue reading
There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Whelan (CRD# 5247677). He has been registered with Kovack Securities Inc. and Kovack Advisors, Inc. in Fort Lauderdale, Florida, since February 2025 He was … Continue reading
Former Emerson Equity LLC broker Rawney McVaney (CRD# 1991351) is accused of private placement losses. He was registered with Emerson Equity LLC in Austin, Texas, from 2016 to 2019, and Lightpath Capital, Inc. in Southlake, Texas, in 2016. Rawney McVaney … Continue reading
There are options for clients of Morgan Stanley broker Jean-Pierre Gobic (CRD# 4380699) regarding private securities losses. He has been registered with Morgan Stanley in Sarasota, Florida, since 2010. Jean-Pierre Gobic Customer Complaints He has been the subject of three … Continue reading
Were you the victim of Ausdal Financial Partners, Inc. broker Michael Hoye (CRD# 3029864)? He has been registered with Ausdal Financial Partners, Inc. in Schaumburg, Illinois, since 2009. Michael Hoye Customer Complaints He has been the subject of one customer … Continue reading
There are options for clients of Axiom Capital Management, Inc. broker John Lemak (CRD# 845891) who suffered investment losses. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2015, and Sandor Advisors, LLC in … Continue reading
Former National Securities Corporation broker Mark Gassoso (CRD# 2590007) is accused of private placement losses. He has been registered with Arete Wealth Management, LLC in Jersey City, New Jersey, since 2024. He was registered with B. Riley Wealth Management in … Continue reading
Former LPL Financial LLC broker Brendan Kelly (CRD# 2208036) is accused of private security losses. He has been registered with IFP Securities, LLC in Downingtown, Pennsylvania, since September 2024. He was registered with Alera Investment Advisors in Berwyn, Pennsylvania, from … Continue reading
Have you been advised by your Patrick Capital Markets broker or investment advisor to invest in syndicated conservation easements? Erez Law is investigating brokers and investment advisors nationwide who have recommended that their clients invest in syndicated conservation easement transactions. … Continue reading