Category: Unauthorized Trades
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Ronald Broadstone (CRD# 1043159) regarding unauthorized trading in customer accounts. Broadstone was registered with UBS Financial Services Inc. in New Albany, Ohio from 2007 to April 2017, when … Continue reading
Erez Law is currently investigating Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) regarding unauthorized trades and other acts of securities fraud. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. broker Luigi Mancusi (Lou Mancusi) (CRD# 2193040) regarding unauthorized trades in customer accounts. Mancusi has been registered David A. Noyes & Company in Lake Forest, Illinois since 2015. Previously, he … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors financial advisor Jeffrey Grayson (CRD# 728985) regarding use of discretion in customer accounts. Grayson was registered with Wells Fargo Advisors in Florham Park, New Jersey from 2011 to December 2016. Previously, … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Andrew Yocum (CRD# 4590723) regarding unauthorized transactions, use of discretion without written authorization, and recommending unsuitable concentrated purchases of energy-sector securities to senior investors. Yocum has been registered with Summit … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Jason Anderson (CRD# 4370191), regarding unauthorized trading, churning and mismanagement of customer accounts. Anderson was registered with IFS Securities in Beaumont, Texas from May 2016 to April 2017. Previously, … Continue reading
Erez Law is currently investigating International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) regarding unsuitable recommendations and unauthorized trades in customer accounts. Spolar has been registered with International Assets Advisory, LLC in Orlando, Florida since April 2015. Previously, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Lorena Esteva (CRD# 2170595) regarding unauthorized trading, an unapproved customer credit line, and misrepresentation. Esteva was registered with UBS Financial Services Inc. in Miami, Florida from November 2015 … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Peter Doyle (CRD# 2370593) regarding the use of trading discretion in a customer’s account. Doyle was registered with Morgan Stanley in Washington, DC from 2009 to 2016, when he was … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor Jon Schmidhammer (CRD# 1548931) regarding negligence, unsuitable management, unauthorized trading and securities violations. Schmidhammer was registered with Stifel, Nicolaus & Company, Inc. in Dublin, Ohio from 2009 … Continue reading