Category: Structured Product
Former LPL Financial LLC broker Kevin McCoy (CRD# 4557189) faces customer complaints regarding unsuitable investment recommendations. Kevin McCoy has been registered with Cetera Investment Services LLC in The Woodlands, Texas since 2019. Previously, Kevin McCoy was registered with LPL Financial … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in structured notes from companies including autocallable securities, callable yield, and other structured notes, which have suffered significant declines when the market crashed due to the … Continue reading
There are options for clients of former Newbridge Securities Corporation broker Kevin T. Doyle (CRD# 2189452) who suffered investment losses. Doyle has been registered with Aegis Capital Corp. in Mineola, New York since 2017. Previously, Doyle was registered with National … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. broker David Crane (CRD# 1334510) regarding unsuitable structured product investments. Crane has been registered with Centaurus Financial, Inc. in Dacula, Georgia since December 2018. Previously, Crane was registered with Questar Capital Corporation … Continue reading
Erez Law recently filed a FINRA arbitration against Aegis Capital Corp. Their customer alleges that she suffered losses due to recommendations by her broker Alan Appelbaum (CRD# 500336), who has been registered with Aegis Capital Corp. in Boca Raton, Florida … Continue reading
Erez Law is currently investigating brokers at brokerage firms across the country who recommended their clients invest in Steepeners. Steepeners are a type of structured product. Structured products are complex securities derived from or based on a single security or … Continue reading
Erez Law is investigating Centaurus Financial, Inc. and J.P. Turner & Company, LLC for structured product losses due to investments with Ricky Mantei (CRD# 1098981), Cindy Chiellini (CRD# 1015592), Dana Matthew Hawkins (CRD# 5731136), and Katherine Nishnic (CRD# 249955). Erez … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisors across the country who recommended their clients invest in UBS structured notes or GOAL Yield products. Structured products are complex securities derived from or based on a single security … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Herbert J. Sims & Co. Inc. financial advisor Larry Wolfe (CRD# 502361) regarding over concentrating customer portfolios in structured notes and junk … Continue reading
Erez Law recently filed a $500,000 FINRA arbitration against Invex, LLC. The former Invex, LLC customers allege that the Miami, Florida-based firm recommended a speculative and unsuitable strategy of concentrating the elderly couple’s portfolio in three high risk, complex and … Continue reading