Category: Unauthorized Trades
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Geneos Wealth Management, Inc. broker Randolph Eddlemon III (CRD# 2285234). Eddlemon has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona … Continue reading
Erez Law is currently investigating Paulson Investment Company LLC financial advisor Michael Nixon (CRD# 2169631) regarding investment losses. Nixon has been registered with Paulson Investment Company LLC in Tampa, Florida since 2015. In September 2019, Nixon was sanctioned to a … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Steven Yellen (CRD# 1281663) regarding unauthorized trading. Yellen was registered with Ameriprise Financial Services, Inc. in El Paso, Texas from 2016 to 2018, when he was terminated regarding, “Registered … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Stephen Kelbick (CRD# 1429133) regarding discretionary trading in customer accounts. Kelbick was registered with Wells Fargo Clearing Services, LLC in Villanova, Pennsylvania from 2013 to 2017, when he … Continue reading
Were you the victim of former Raymond James & Associates, Inc. broker John Wyshak (CRD# 1272260)? Wyshak was registered with Raymond James & Associates, Inc. in Los Angeles, California from 2014 to 2018 and previously with Wedbush Securities Inc. in … Continue reading
Erez Law is currently investigating former J.P. Morgan Securities LLC broker Barry Snyder (CRD# 2385901) regarding excessive and unauthorized trades. Snyder has been registered with Snowden Account Services LLC in Coral Gables, Florida since September 2019. Previously, Snyder was registered … Continue reading
Erez Law is currently investigating Maryland broker Charles Laubach (CRD# 1097453) for investment losses. Laubach has been registered with Capital Portfolio Management, Inc. in Timonium, Maryland from 2016 to August 2019, when he was terminated regarding, “Failure to follow heightened … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Ricardo Turlan (CRD# 4431836) regarding exercising discretion in customer accounts. Turlan has been registered with UBS Financial Services Inc. in San Antonio, Texas from 2015 to 2019, when he … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Michael Carter (CRD# 3232017) who was charged by the SEC with fraud. Carter was registered with Morgan Stanley in McLean, Virginia from 2011 to 2019, when he was terminated regarding, “FA … Continue reading