Category: Unauthorized Trades
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Madison Avenue Securities, LLC financial advisor David Barber (CRD# 1165082). Barber was registered with Madison Avenue Securities, LLC in San Diego, California … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisor Shaun Hayes (CRD# 4963876) regarding unauthorized trades. Hayes has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Fort Worth, Texas from February 2012 to August 2017. Hayes has … Continue reading
Did you lose money investing with former Northwestern Mutual Investment Services, LLC financial advisor Meaghan Johnson (CRD #5754123) who is alleged to engage in unauthorized account changes and client signature forgery? Johnson has been registered with Northwestern Mutual Investment Services, … Continue reading
Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when … Continue reading
Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) is alleged to engage in unauthorized trades and over concentrate customer accounts. Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 to 2015. Previously, he … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Paul Colchamiro (CRD# 2039083) regarding excessive and unauthorized trading in customer accounts. Colchamiro has been registered with Oppenheimer & Co. Inc. in Melville, New York since 1998. In March … Continue reading
In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and … Continue reading
Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Daniel Morris (CRD# 1046760) regarding unauthorized and unsuitable trades. Morris has been registered with Westport Capital Markets, LLC in Westport, Connecticut since December 2016. Previously, Morris was registered with … Continue reading