Category: Unauthorized Trades
Erez Law is currently investigating former Raymond James Financial Services financial advisor Steve Reznik (CRD# 1067199) regarding recommendations and/or unauthorized purchases of risky biotech stocks such as: Achaogen, Acadia Pharmaceuticals, Celgene, Clovis, Gilead Sciences, and Ziopharm Oncology. Erez Law is … Continue reading
Former Independent Financial Group, LLC financial advisor Jon Pariser (CRD# 2755015) was barred by FINRA regarding unauthorized and discretionary trades in customer accounts. Pariser was registered with Independent Financial Group, LLC in Pacific Grove, California from 2014 to May 2018. … Continue reading
Were you the victim of former Raymond James & Associates, Inc. financial advisor James Lyons (CRD# 1020397)? Lyons has been registered with Raymond James & Associates, Inc. in Shreveport, Louisiana from 2013 to May 2017, when he was terminated regarding, … Continue reading
Benjamin & Jerold Brokerage I, LLC financial advisor Juergen Weber (CRD# 2617323) was recently barred by FINRA for unsuitable recommendations and unauthorized trades. Weber was registered with Benjamin & Jerold Brokerage I, LLC in New York, New York from 2011 … Continue reading
Merrill Lynch broker Christopher Hibbard (CRD# 3176484) faces multiple customer complaints for misappropriation of funds. Hibbard has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Louisville, Kentucky from 2010 to January 2018 when he was terminated regarding, … Continue reading
Former First Standard Financial Company LLC broker Roy Failla (CRD# 2786551) is accused of unauthorized trading and unsuitable investments. Failla has been registered with Arive Capital Markets in Staten Island, New York since 2019. In January 2021, the New Jersey … Continue reading
Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith financial advisor Giustino Destefano (CRD# 4926924)? Destefano was registered with Securities America, Inc. in Williamsville, New York from 2014 to February 2015, when he was terminated regarding, “failure … Continue reading
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between … Continue reading
Were you the victim of First Standard Financial Company LLC financial advisor Arthur Coffey (CRD# 2553466)? Coffey has been registered with First Standard Financial Company LLC in Miller Place, New York since 2016. Previously, Coffey was registered with Legend Securities, … Continue reading
Were you the victim of former First Allied Securities, Inc. financial advisor Sean Brady (CRD# 4365173) who is alleged to recommend unsuitable investments and make misrepresentations and omissions? Brady was registered with First Allied Securities, Inc. in St. Louis, Missouri … Continue reading