Category: Unauthorized Trades
Did you suffer investment losses due to recommendations by Wells Fargo Clearing Services, LLC broker Richard Bernstein (CRD# 1113777)? Bernstein has been registered with Wells Fargo Clearing Services, LLC in Incline Village, Nevada since 2015. Bernstein has been the subject … Continue reading
Former Raymond James & Associates, Inc. broker James Edward Lyons (Eddie Lyons) (CRD# 1020397) is accused of unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs) linked to the high-risk energy sector. Lyons was registered with Raymond … Continue reading
There are options for customers of former Laidlaw & Company broker Kevin Wilson (CRD# 3262701) who suffered investment losses. Wilson has been registered with Worden Capital Management LLC in New York, New York since November 2019. Previously, Wilson was registered … Continue reading
There are options for customers of former Nylife Securities LLC broker George Shadie (CRD# 2513286) regarding investment losses. Shadie was registered with Nylife Securities LLC in Wilkes Barre, Pennsylvania from 1995 to 2019, when he was terminated regarding, “Mr. Shadie … Continue reading
In June 2019, a former client of PFS Investments Inc. won an award in a FINRA arbitration for compensatory damages for $850,630 for losses sustained from unauthorized and unapproved transactions. The investors were clients of financial advisors Perry De Leeuw … Continue reading
Erez Law is currently investigating First Standard Financial Company LLC broker Joseph Orlando Jr. (CRD# 2882204) regarding investment losses due to unauthorized trading. Orlando has been registered with First Standard Financial Company LLC in Red Bank, New Jersey since 2016. … Continue reading
There are options for customers of former Prospera Financial Services, Inc. broker Dudley Stephens (CRD# 4119268) who suffered investment losses. Stephens was registered with the following brokerage firms: Coastal Equities, Inc. in New York, New York (11/22/2016 – 07/23/2018) Prospera … Continue reading
Former Transamerica Financial Advisors, Inc. broker Pedro L. Gonzalez-Seijo (CRD# 2182912) was barred by FINRA after it was found that he took $583,161.25 from his clients. Gonzalez-Seijo was president and owner of PGS Insurance, Inc. Gonzalez-Seijo was registered with Transamerica … Continue reading
Erez Law is currently investigating former Merrill Lynch broker Sylvester Knox (CRD# 1625705) regarding investment losses due to unauthorized transactions. Knox was registered with FSC Securities Corporation in Short Hills, New Jersey from January 2017 to August 2018. Previously, he … Continue reading
Did you suffer losses due to investments with former Wedbush Securities Inc. broker William Heiden (CRD# 2885156)? Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, FINRA named Heiden as a … Continue reading