Category: Selling Away
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 K.C. Ward Financial financial advisor Craig David Dima (CRD# 2314389) regarding unsuitable trading. Dima was registered with K.C. Ward Financial in Ronkonkoma, New York from 2009 to 2017. He was permanently barred by FINRA from … Continue reading
Erez Law is currently investigating WFG Investments, Inc. financial advisor Stuart Graham Dickinson (CRD# 1047824) regarding unsuitability of investment recommendations and lack of due diligence. Dickinson was registered with WFG Investments in Highland Park, Texas from 2005 to 2013. WFG … Continue reading
Erez Law is currently investigating Source Capital Group Inc. broker Joseph Scott Hooper (CRD# 2066207) over failed medical start-up investments that were sold to elderly investors. Hooper was registered with Source Capital from 2003 to 2010 and again from 2012 … Continue reading
Erez Law is investigating claims regarding Sean Eric Mattson (CRD #4028781, South Lyon, Michigan). Mattson recently submitted an AWC in which he was suspended from association with any FINRA member in any capacity for one month. See FINRA Case #2014040837701. … Continue reading
Erez Law is investigating claims regarding David Alexander Lange (CRD #4198134, Meridian, Idaho). Lange recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014040505802. Lange was associated with … Continue reading
Erez Law is investigating claims regarding John Wendland Handy Jr. (CRD #1580981, Madison, Wisconsin), Jonathan Craig Timson (CRD #2031301, Springfield, Missouri) and Dennis Walker (CRD #1058338, Verona, Missouri). Handy, Timson, and Walker recently submitted an AWC in which they were … Continue reading