Category: Selling Away
![Park Avenue Securities LLC](https://www.erezlaw.com/wp-content/uploads/2022/08/Unknown.png)
Former Park Avenue Securities LLC broker William Bennett (CRD# 5334350) was recently terminated related to outside business activities. He was registered with Park Avenue Securities LLC in Tulsa, Oklahoma, from 2020 to 2024, when he was terminated regarding, “RR Violated … Continue reading
![UBS Financial Services Inc.](https://www.erezlaw.com/wp-content/uploads/2022/09/Screen-Shot-2022-09-09-at-6.37.21-PM.png)
Were you the victim of former UBS Financial Services Inc. Michael Rosenbach (CRD# 6497350)? He was registered with UBS Financial Services Inc. in Tampa, Florida, from 2021 to 2023, when he was terminated regarding, “employee discharged after violating firm policies … Continue reading
![Wells Fargo logo](https://www.erezlaw.com/wp-content/uploads/2017/10/Wells-Fargo-logo.png)
Were you the victim of investment losses due to recommendations by former Wells Fargo Clearing Services, LLC broker John Dougherty (CRD# 3018615)? He was registered with LPL Financial LLC in Blue Bell, Pennsylvania, from 2021 to 2023, when he was … Continue reading
![Wells Fargo logo](https://www.erezlaw.com/wp-content/uploads/2017/10/Wells-Fargo-logo.png)
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Andrew Egber (CRD# 1894585) who was barred by FINRA. He was registered with Steward Partners Investment Solutions, LLC in Bethesda, Maryland, from 2022 to 2024, where he managed … Continue reading
![Edward Jones](https://www.erezlaw.com/wp-content/uploads/2022/01/Edward-Jones.jpg)
Erez Law is currently investigating former Edward Jones broker Reuben Brown (CRD# 7089559), who was barred by FINRA regarding investment losses related to private securities transactions and selling away. He was registered with Edward Jones in Southlake, Texas, from 2019 … Continue reading
![LPL Financial LLC](https://www.erezlaw.com/wp-content/uploads/2021/12/LPL-Financial.png)
Were you the victim of selling away by former LPL Financial LLC broker Todd Lesk (CRD# 2788300)? He was registered with Cambridge Investment Research, Inc. in Coral Springs, Florida, from 2022 to 2023, when he was terminated regarding, “The FP … Continue reading
![J.W. Cole Financial](https://www.erezlaw.com/wp-content/uploads/2022/04/Unknown-5.png)
Erez Law is interested in speaking with investors who may have suffered losses due to investments with J.W. Cole Financial, Inc. broker Jason Kimber (CRD# 6244188). He has been registered with J.W. Cole Financial, Inc. in Logan, Utah, since 2018. … Continue reading
![New jersey map](https://www.erezlaw.com/wp-content/uploads/2018/03/New-jersey-map.gif)
Were you the victim of investment losses with former Monmouth Capital Management LLC and Newbridge Securities Corporation broker Caz Craffy (CRD# 5222223)? He was registered with Monmouth Capital Management LLC in Pleasant Beach, New Jersey, from 2021 to 2022, when … Continue reading
![Morgan-Stanley logo](https://www.erezlaw.com/wp-content/uploads/2022/01/Morgan-Stanley.png)
Erez Law is currently investigating former Morgan Stanley broker Darryl Cohen (CRD# 2786613) regarding non-broker dealer product investment losses and selling away. The broker was part of the Global Sports Entertainment Group at Morgan Stanley, focusing on athletes and entertainers … Continue reading
![MML Investors Services LLC](https://www.erezlaw.com/wp-content/uploads/2022/04/Screen-Shot-2022-04-25-at-4.49.15-PM.png)
There are options for clients of former MML Investors Services, LLC broker Amanda Berry (CRD# 5651609) who allegedly engaged in selling away. She was registered with MML Investors Services, LLC in Oklahoma City, Oklahoma from 2019 to 2020. Previously, she … Continue reading