Category: Unauthorized Trades
In April 2019, a former client of Herbert J. Sims & Co. Inc. won an award in a FINRA arbitration for compensatory damages for $480,000, as well as $30,000 in costs and $600 for the non-refundable portion of the filing … Continue reading
Former Cambridge Investment Research, Inc. financial advisor Gary Meier (CRD# 1591561) has six pending customer complaints for investment losses. Meier was registered with Cambridge Investment Research, Inc. in Vancouver, Washington from 2013 to 2015. In August 2017, the Washington state … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Mark Augusta (CRD# 1333913) regarding unsuitable and unauthorized trades. Augusta has been registered with Hilltop Securities Inc. in Del Mar, California since 2015. Augusta was previously registered with Wedbush Securities … Continue reading
Were you the victim of former Alexander Capital, L.P. financial advisor Michael Castillero (CRD# 4583917)? Castillero was registered with Windsor Street Capital, LP in New York, New York from June to October 2017 and previously with Alexander Capital, L.P. in … Continue reading
Former National Securities Corporation financial advisor Leonard Mcabee (CRD# 2066347) accused of unauthorized trading in customer accounts. Mcabee has been registered with National Securities Corporation in Lombard, Illinois from 2011 to 2018. Previously, Mcabee was registered with Barron Chase Securities, … Continue reading
Erez Law is currently investigating former Wedbush Securities Inc. financial advisor William Heiden (CRD# 2885156) regarding investment losses due to unauthorized trades. Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, … Continue reading
Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Raymond James Financial Services, Inc. financial advisor Ronald Rothchild (CRD# 4491932). Rothchild has been registered with National Securities Corporation in Melville, New … Continue reading
Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 … Continue reading
J.P. Morgan Securities LLC financial advisor Justin Lopez (CRD# 5162263) is accused of excessive trading and unsuitable and unauthorized trades. Lopez has been registered with J.P. Morgan Securities LLC in Mineola, New York since 2016. Lopez has been the subject … Continue reading