Category: Unauthorized Trades
Erez Law is currently investigating former Wells Fargo Advisors, LLC broker Francesco Traina (CRD# 5025477) regarding unauthorized trading. He has been registered with Raymond James Financial Services, Inc. in Miami, Florida, since 2016. He was registered with Wells Fargo Advisors, … Continue reading
Were you the victim of UBS Financial Services Inc. broker Terry Griffith (CRD# 4937497)? He has been registered with Independent Financial Group, LLC in Watertown, Massachusetts, since 2024. He was registered with UBS Financial Services Inc. in Peabody, Massachusetts, from … Continue reading
Wells Fargo Clearing Services, LLC broker Iliasser Arias (CRD# 3199210) is accused of unauthorized trading. He has been registered with Wells Fargo Clearing Services, LLC in New York, New York, since 2017. He was registered with J.P. Morgan Securities LLC … Continue reading
Did you lose money investing with former Oppenheimer & Co. Inc. broker David Dunn (CRD# 2819556)? He has been registered with Raymond James & Associates, Inc. in Walnut Creek, California, since 2023. He was registered with Oppenheimer & Co. Inc. … Continue reading
There are options for clients of Citigroup Global Markets Inc. broker Jeffery Wimer (CRD# 2985293) who is accused of investment losses due to unauthorized trading. He has been registered with Citigroup Global Markets Inc. in Fort Lee, New Jersey, from … Continue reading
Can you recover losses due to recommendations by Wells Fargo Clearing Services, LLC broker James Alperin (CRD# 2467392)? He has been registered with Wells Fargo Clearing Services, LLC in Westport, Connecticut, since 2019, and Wells Fargo Advisors in Westport, Connecticut, … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker James Pecoraro (CRD# 2440231) regarding unauthorized trading. He has been registered with Spartan Capital Securities, LLC in Garden City, New York, since 2019. He was registered with SW Financial in … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Robert Moon (CRD# 2431875) regarding unauthorized trading. He has been registered with Rockefeller Financial LLC in Bethesda, Maryland, since 2023, and Rockefeller Capital Management in Bethesda, … Continue reading
Erez Law is currently investigating former Northwestern Mutual Investment Services, LLC broker Joseph Cannon (CRD# 6341199) regarding unauthorized trades. He was registered with Northwestern Mutual Investment Services, LLC in Chicago, Illinois, from 2016 to 2024, when he was terminated regarding, … Continue reading
Were you the victim of unauthorized trading with Robert W. Baird & Co. Incorporated broker Richard Bingaman (CRD# 2467130)? He has been registered with Robert W. Baird & Co. Incorporated in Elgin, Illinois, since 2018. He was registered with Edward … Continue reading