Category: Unauthorized Trades
Erez Law is currently investigating former Triad Advisors, Inc. financial advisor Larry Westly Farmbry (CRD# 1017621) regarding unauthorized discretionary trades. Farmbry was registered with Triad Advisors, Inc. in Bala Cynwyd, Pennsylvania from 2015 to 2017. In August 2015, Farmbry was … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC financial advisor Kelly Clayton Althar (CRD# 2666723) regarding unsuitable recommendations and excessive trading. Althar was registered with Paulson Investment Company LLC in Novato, California from 2015 to 2016. Previously, he … Continue reading
Erez Law is currently investigating former Morgan Stanley Richard Alan Kern (CRD# 1705828) regarding discretionary trading in customer accounts. Kern was registered with Citigroup Global Markets, Inc., a predecessor to Morgan Stanley Smith Barney, located in Beavercreek, Ohio from 2009 … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Wendy B. Feldman (CRD# 1946800) regarding discretion, unsuitable investment recommendations, unauthorized trades and failure to disclose fees to customers. Feldman has been registered with H. Beck, Inc. in Bethesda, Maryland … Continue reading
Erez Law is currently investigating former UBS Financial Services financial advisor William Andrew Hightower (CRD# 2152369) regarding recommendations for investments in unapproved private securities transactions. Hightower was registered UBS Financial Services Inc. in Houston, Texas from 2007 to 2013 and … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Paul Anthony (CRD# 1157930). Anthony was registered with Rhodes Securities in Forth Worth, Texas from 1995 to 2015. Anthony was terminated from his employment at Rhodes Securities regarding … Continue reading
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is currently investigating former Oppenheimer & Co., Inc. and Cetera Advisors, LLC financial advisor Abraham Heimann (CRD# 1315922) regarding unsuitability and unauthorized trades. Heimann was registered with Cetera Advisors in Alpharetta, Georgia from 2013 to 2016 and with … Continue reading
Erez Law is currently investigating former BBVA Securities Inc. financial advisor Eric S. Darty (CRD# 6314905) regarding unauthorized transactions in customer accounts. Dart was registered with BBVA Securities in Birmingham, Alabama from 2014 to 2016 before the brokerage firm terminated … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Inc. financial advisor Robert William Berry (CRD# 849285) regarding unauthorized trading in customer accounts. Berry has been registered with Stifel, Nicolaus & Company, Inc. in Fairlawn, Ohio since 2009. In March … Continue reading