Category: Selling Away
Can I recover losses from investments with former Royal Alliance Associates, Inc. broker John Swon IV (CRD# 5591686)? Swon was registered with Royal Alliance Associates, Inc. (Focus Financial) in Bloomington, Minnesota from 2012 to 2021, when he was terminated regarding … Continue reading
Were you the victim of former Securities America, Inc. broker David Zuber (CRD# 3239595)? Zuber was registered with Securities America, Inc. in Lavista, Nebraska from 2011 to 2020, when he was terminated regarding, “Allegations that representative was involved in the … Continue reading
Were you the victim of former Kestra Advisory Services, LLC broker Clyde Ford (CRD# 4700006)? Ford has been registered with Founders Financial Securities LLC in Fresno, California since 2019. Previously, Ford was registered with Kestra Advisory Services, LLC in Fresno, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Henry Chia (CRD# 4049732) regarding selling away. Chia has been registered with Laidlaw & Company (Uk) Ltd. in Pasadena, California since March 2021. Previously, Chia was registered with Morgan Stanley in … Continue reading
Were you the victim of Independent Financial Group, LLC broker Mark Rothstein (CRD# 1084659)? Rothstein has been registered with Independent Financial Group, LLC in El Segundo, California since 2013. Prior to that, Rothstein was registered with Independent Financial Group, LLC … Continue reading
Were you the victim of former Morgan Stanley broker Henry Chang (CRD# 4049732)? Chang was registered with Morgan Stanley in Pasadena, California from 2015 to 2021. Chang has been the subject of four customer complaints between 2008 and 2021, one … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rowad Alame (CRD# 5376696) regarding selling away. Alame was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Raleigh, North Carolina from 2016 to 2019, … Continue reading
Former Cambridge Investment Research, Inc. broker Michael Francoeur (CRD# 5534184) was terminated for selling away. Francoeur was registered with Cambridge Investment Research, Inc. in Somersworth, New Hampshire from 2012 to 2020, when he was terminated regarding, “Registered Representative assisted client … Continue reading
Erez Law is investigating NYLIFE Securities LLC and its former broker Felix Chu (CRD# 2427593) who allegedly solicited his client to invest in an unapproved illicit promissory note scheme. Erez Law Files Claim on Behalf of Married Couple In September … Continue reading