Category: Selling Away
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
Erez Law is investigating claims regarding Jerry Irvin Chancy (CRD #1787712, Savannah, Tennessee). Chancy recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043629801. Chancy formerly was associated … Continue reading
Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA … Continue reading
Erez Law is investigating claims regarding David Lee Shafranek (CRD #2919901, Long Beach, New York). Shafranek recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business … Continue reading
Erez Law is investigating claims regarding Ted Wayne Cadwallader (CRD #3256070, North Tonawanda, New York). Cadwallader recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2014042259701. Cadwallader … Continue reading