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
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
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 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
Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding excessive and unauthorized trading in customer accounts, including one elderly customer. Trevor Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC broker Marcus Parker (CRD# 1031962)? Marcus Parker was registered with Wells Fargo Clearing Services, LLC in Santa Fe, New Mexico from 2008 to 2017. Marcus Parker Barred by FINRA … Continue reading
Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014. … Continue reading