Category: Selling Away
Were you the victim of former UBS Financial Services Inc. broker Nicholas Barios (CRD# 2122824)? Barios was registered with UBS Financial Services Inc. in Winter Haven, Florida from 2008 to 2019, when he was terminated regarding, Producing Branch Manager (“PBOM”) … Continue reading
Former American Portfolios Financial Services, Inc. broker Mark Hopkins (CRD# 2653473) was barred by FINRA for accepting customer funds for an investment not on the books. Hopkins was registered with American Portfolios Financial Services, Inc. in Grand Blanc, Michigan from … Continue reading
Erez Law is currently investigating former Cuso Financial Services financial advisor Eric Shanks (CRD# 2724083) regarding selling unapproved investments. Shanks was registered with Cuso Financial Services, LP in Richardson, Texas from 2004 to 2014, when he was terminated regarding, “representative … Continue reading
Erez Law recently filed a FINRA arbitration against Colorado Financial Service Corp. on behalf of a retired California couple. Their customer alleges that Tracy Turner (CRD #1385745), who was a registered representative of Colorado Financial Service Corp., in Carlsbad, California … Continue reading
Did you lose money investing with former Foresters Equity Services, Inc. financial advisor Michael Rappa (CRD# 4799159)? Rappa was registered with Foresters Equity Services, Inc. in San Diego, California from 2010 to 2017. In February 2019, FINRA barred Rappa after … Continue reading
Former Concorde Investment Services, LLC broker Richard Cody (CRD# 2794558) was barred by FINRA and sentenced to two years in prison for defrauding retired clients. Cody was registered with IFS Securities in Spring Lake, New Jersey from August to September … Continue reading
Erez Law is currently investigating former PNC Investments financial advisor Robert Jamison (CRD# 5793591) regarding selling unapproved products (also known as selling away). Jamison has been registered with the following brokerage firms during the past few years: PNC Investments in … Continue reading
In December 2018, a former client Next Financial Group Inc. won an award in a FINRA arbitration for compensatory damages for $2,004,423 plus $6,200 as reimbursement for the initial filing fee and hearing session fees for losses sustained from investment … Continue reading
Have you experienced investment losses due to recommendations by Investors Capital Corp. financial advisor Nina Jessee (CRD# 1484808)? Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated … Continue reading
Former UBS Financial Services Inc. financial advisor Alex Herrera (CRD# 3204779) barred by FINRA regarding unreported outside business activities and private securities transactions. Herrera was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2018. In … Continue reading