Category: Selling Away
Erez Law is currently investigating former FSC Securities Corporation financial advisor Tim Cannady (CRD# 5267061) regarding bank fraud and a fraudulent investment fund. Cannady was registered with Roosevelt Equity Corporation in Charlotte, North Carolina from May to November 2011. Previously, … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Jim Seol (CRD# 2876279) regarding outside business activities that generated $150 Million in private transactions. Seol was registered with Ameriprise Financial Services, Inc. in Irvine, California from 1997 … Continue reading
Erez Law is currently investigating Taylor Capital Management Inc. financial advisor Erick J. Arnett (CRD# 5007131) regarding participating in outside business activities without providing written notice to his member firm. Arnett has been registered with Taylor Capital Management Inc. in … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Brian Carey Sak (CRD# 3259830) regarding an outside real estate investment. Sak was registered with Morgan Stanley in Deerfield, Illinois from 2009 to 2016. Morgan Stanley Smith Barney terminated Sak’s … Continue reading
Erez Law is currently investigating former Fidelity Brokerage Services LLC financial advisor Michael Jon DeBoer (CRD# 2114067) regarding outside business activities that lost his clients significant amounts of money. DeBoer was registered with Fidelity Brokerage Services LLC in Clearwater, Florida … Continue reading
Erez Law is currently investigating Dougherty & Company LLC financial advisor Michael Timothy Dolan (CRD# 1209079) regarding outside business activities. Dolan has been registered with Dougherty & Company LLC in Minneapolis, Minnesota since 1997. In December 2016, Dolan was named … Continue reading
Erez Law is currently investigating former Source Capital Group, Inc. financial advisor Mark Robert Holcombe (CRD# 2901441) regarding outside business activities. Holcombe has been registered with Source Capital Group, Inc. in Westport, Connecticut from 2014 to 2015. FINRA has suspended … Continue reading
Erez Law is currently investigating former Morgan Stanley Smith Barney, LLC financial advisor Patrick Dennis Combs (CRD# 2720909) regarding an outside investment with a Morgan Stanley customer and a private sports drink company. Combs was registered with IMS Securities, Inc. … Continue reading
Erez Law is currently investigating K.C. Ward Financial financial advisor Carlos Nestor Evertsz-Seda (CRD# 4757897). Erez Law represents a client who alleges that Evertsz-Seda recommended a reckless and unsuitable investment strategy dangerously concentrated in speculative and high risk stocks. Erez … Continue reading
Erez Law is currently investigating Park Avenue Securities LLC financial advisor Lizabeth Gotuaco Ty (CRD# 4737319), also known as Beth Ty, regarding the sale of unregistered securities. Ty was registered with Park Avenue Securities in Houston, Texas from 2009 to … Continue reading