Category: Unauthorized Trades
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
Erez Law is currently investigating former Pruco Securities, LLC broker Mark Carter (CRD# 6392736) regarding unauthorized trading. He was registered with Pruco Securities, LLC in Charlotte, North Carolina, from 2014 to 2024, when he was terminated regarding, “Registered Representative self-disclosed … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading
Erez Law is investigating Union Capital Company broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations. He has been registered with Union Capital Company in Punta Gorda, Florida, since 2018. He was registered with Kovack Securities Inc. in Punta Gorda, … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker Adam Jacobs (CRD# 4990788)? He has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio, since 2009. Adam Jacobs Customer Complaints He has been the subject of two customer … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Jason Head (CRD# 4920135), who is accused of investment losses. He was registered with Morgan Stanley in Tuscaloosa, Alabama, from 2019 to 2024, and with BBVA Securities Inc. in Northport, Alabama, … Continue reading
Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Franz Koch (CRD# 4467954) is accused of unauthorized trading. He has been registered with Wells Fargo Clearing Services, LLC in Boca Raton, Florida, since 2022. He was registered with Merrill Lynch, … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Thomas Ley (CRD# 1127048)? He has been registered with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Toms River, New Jersey, since 2012. Thomas Ley Customer Complaints … Continue reading
Former Morgan Stanley broker William Collins (CRD# 2787822) faces customer complaints related to unauthorized and excessive trading. He has been registered with Cetera Advisor Networks LLC in Farmington Hills, Michigan, since 2023. Previously, he was registered with Morgan Stanley in … Continue reading
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