Category: Structured Product
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
Were you the victim of former Aegis Capital Corp. broker Alan Appelbaum (CRD# 500336) who is accused of recommending unsuitable structured products that generated high commissions? Alan Appelbaum was registered with Aegis Capital Corp. in Boca Raton, Florida from 2015 … 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
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Todd Ellentuck (CRD# 1321452) regarding excessive fees and commissions, unauthorized trades in Puerto Rico bonds, overconcentrated investments in MLPs, unsuitable structured products, and losses tied to the high … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Anthony Mampieri (CRD# 1653703) regarding investment recommends in structured notes. Mampieri has been registered with Morgan Stanley in Columbus, Ohio since 2010. A structured note is a debt obligation that tracks … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith financial advisors across the country regarding recommendations of investments in a structured product called Buffered Strategic Equity Exposure Performance Linked Securities (STEEPLS), offered by Bank of America. In February … Continue reading