Category: Selling Away
In July 2025, Former Merrill Lynch broker Isaiah Williams (CRD# 6211219) was arrested following allegations that he stole $2.59 million in funds in more than 130 transactions from the Bank of America account of a former Dolphins defensive safety Reshad … Continue reading
There are options for clients of former Morgan Stanley broker Janet Gordon (CRD# 1114409), who is accused of selling away. She has been registered with Raymond James & Associates, Inc. in Coral Gables, Florida, since 2023. She was registered with … Continue reading
Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ali Chehab (CRD# 7625979)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Portland, Oregon, from 2023 to 2024, when he was terminated … Continue reading
Former UBS Financial Services Inc. broker Paul Murans (CRD# 3266607) has three pending customer complaints for investment losses. He has been registered with Thurston Springer Financial in Indianapolis, Indiana, since October 2017. Previously, he was registered with UBS Financial Services … Continue reading
Can you recover losses due to recommendations by former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Elan Sanker (CRD# 5580543)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pennington, New Jersey, from 2018 to 2023, … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rajesh Markan (CRD# 4553309) who suffered investment losses. He was registered with Hilltop Securities Inc. in Dallas, Texas, from 2022 to 2024, and Merrill Lynch, Pierce, … 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
Erez Law recently filed a FINRA arbitration against PFS Investments Inc. related to selling away. The complaint was related to investments with Michael Archimede (CRD# 5701306). He has been registered with PFS Investments Inc. in Waukesha, Wisconsin, from 2010 to … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Christian De Berardinis (CRD# 4312327) regarding selling away. He was registered with Morgan Stanley in New York, New York, from 2015 to 2023, when he was terminated regarding, “Allegations of involvement … Continue reading
Former Edward Jones broker Lincoln Mason (CRD# 7057393) is accused of selling away. He was registered with Edward Jones in Arnolds Park, Iowa, from 2019 to 2021, when he was terminated regarding, “Concerns relating to outside business activities and failure … Continue reading