Category: Unauthorized Trades
Erez Law is currently investigating Morgan Stanley broker Joel Freedman (CRD# 1260557), who is accused of unauthorized trades. He has been registered with Morgan Stanley in West Conshohocken, Pennsylvania, since 2009. In May 1991, National Association Of Securities Dealers, Inc. … Continue reading
Were you the victim of Raymond James Financial Services, Inc. broker Michael Citron (CRD# 1374797)? He has been registered with Raymond James Financial Services, Inc. in Morristown, New Jersey, since 2020. He was registered with Stifel, Nicolaus & Company, Incorporated … Continue reading
Herbert J. Sims & Co, Inc. broker Edward Muster (CRD# 1012341) is accused of unauthorized trades. He has been registered with Herbert J. Sims & Co, Inc. in Boca Raton, Florida, from 1998 to 2020. Edward Muster Customer Complaints He … Continue reading
Former Global Financial Private Capital, LLC broker John Anderson (CRD# 5922928) is accused of unauthorized trades. He has been registered with Anderson Advisors, Inc. in Gainesville, Georgia, since 2022. Previously, he was registered with AE Wealth Management, LLC in Gainesville, … Continue reading
Ameriprise Financial Services, LLC broker Michael Fisher (CRD# 4056114) is accused of unsuitable and unauthorized trading. He has been registered with Ameriprise Financial Services, LLC in Melville, New York, since 2016. Previously, he was registered with Wells Fargo Advisors, LLC … Continue reading
Former Joseph Stone Capital L.L.C. broker Szczepan Kosmaczewski (Steven Carol) (CRD# 7192377) is accused of unauthorized transactions. He was registered with the following firms in his career: Craft Capital Management LLC in New York, New York, from 2022 to 2023 … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker William King (CRD# 1432593), regarding unsuitable and unauthorized trades related to put options. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, … Continue reading
Erez Law is currently investigating Axiom Capital Management, Inc. broker Robert Doyle (CRD# 2309859), who is accused of unauthorized trading. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2002. Robert Doyle Customer Complaints … Continue reading
Former Morgan Stanley broker Ron Filoramo (CRD# 3270398) was barred by FINRA and the Securities and Exchange Commission (SEC) related to unauthorized trading in customer accounts. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, from 2011 to … Continue reading
Former SW Financial broker Bruce Boyle (CRD# 1796066) faces a customer complaint related to excessive and unauthorized trading. He was registered with SW Financial in Melville, New York, from 2019 to 2023. In September 2004, NASD suspended him from association … Continue reading