Category: Unauthorized Trades
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Marc Reda (CRD# 2757330) regarding unauthorized trading. He was registered with Spartan Capital Securities, LLC in New York, New York from 2016 to 2022. Previously, he was registered with … Continue reading
Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Hulley (CRD# 1352411) who recommended common and preferred stocks? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Brea, California … Continue reading
There are options for clients of former Kovack Securities Inc. broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations and unauthorized trading activity. Gerald O’Halloran has been registered with Union Capital Company in Punta Gorda, since 2018. Prior to that, … Continue reading
Erez Law is currently investigating The Rockwell Financial Group, Inc. broker George Fill (CRD# 5396631) regarding unauthorized trades. He has been registered with The Rockwell Financial Group, Inc. in Hicksville, New York since 2016. George Fill Customer Complaints George Fill … Continue reading
Erez Law is currently investigating former Edward Jones broker Ronald Molo (CRD# 4371241) regarding unauthorized trades. Ronald Molo was registered with Edward Jones in Joliet, Illinois from 2001 to 2021, when he was terminated regarding, “Registered representative was terminated after … Continue reading
Were you the victim of Morgan Stanley broker John Rochester (CRD# 2128760) due to unauthorized trading? John Rochester has been registered with Morgan Stanley in Santa Fe, New Mexico since 2009. John Rochester Customer Complaints John Rochester has been the subject … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker German Nino (CRD# 2653707) regarding unauthorized trades and fraud. German Nino was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2020. In January 2022, the Securities and Exchange … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Douglas Szempruch (CRD# 4159318) regarding unauthorized trading. Douglas Szempruch was registered with Aegis Capital Corp. in Melville, New York from 2011 to 2021. In July 2021, FINRA sanctioned Douglas Szempruch … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. broker Joel Kichline (CRD# 1416219), who is accused of unauthorized trading. Joel Kichline has been registered with Stifel, Nicolaus & Company, Incorporated in Frontenac, Missouri since 2020. Previously, Joel … Continue reading
Were you the victim of former Ameriprise Financial Services, LLC broker James Dunn (CRD# 6084258)? James Dunn was registered with Ameriprise Financial Services, LLC in Vienna, Virginia from 2019 to 2021, when he was terminated regarding, “Registered representative resigned while … Continue reading