Erez Law is currently investigating former Morgan Stanley broker Jason Head (CRD# 4920135), who is accused of investment losses. He was registered with Morgan Stanley in Tuscaloosa, Alabama, from 2019 to 2024, and with BBVA Securities Inc. in Northport, Alabama, … Continue reading
Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Franz Koch (CRD# 4467954) is accused of unauthorized trading. He has been registered with Wells Fargo Clearing Services, LLC in Boca Raton, Florida, since 2022. He was registered with Merrill Lynch, … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker Thomas Ley (CRD# 1127048)? He has been registered with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Toms River, New Jersey, since 2012. Thomas Ley Customer Complaints … Continue reading
Former Morgan Stanley broker William Collins (CRD# 2787822) faces customer complaints related to unauthorized and excessive trading. He has been registered with Cetera Advisor Networks LLC in Farmington Hills, Michigan, since 2023. Previously, he was registered with Morgan Stanley in … Continue reading
Erez Law is currently investigating Morgan Stanley broker Joel Freedman (CRD# 1260557), who is accused of unauthorized trades. He has been registered with Morgan Stanley in West Conshohocken, Pennsylvania, since 2009. In May 1991, National Association Of Securities Dealers, Inc. … Continue reading
Herbert J. Sims & Co, Inc. broker Edward Muster (CRD# 1012341) is accused of unauthorized trades. He has been registered with Herbert J. Sims & Co, Inc. in Boca Raton, Florida, from 1998 to 2020. Edward Muster Customer Complaints He … Continue reading
Former Global Financial Private Capital, LLC broker John Anderson (CRD# 5922928) is accused of unauthorized trades. He has been registered with Anderson Advisors, Inc. in Gainesville, Georgia, since 2022. Previously, he was registered with AE Wealth Management, LLC in Gainesville, … Continue reading
Ameriprise Financial Services, LLC broker Michael Fisher (CRD# 4056114) is accused of unsuitable and unauthorized trading. He has been registered with Ameriprise Financial Services, LLC in Melville, New York, since 2016. Previously, he was registered with Wells Fargo Advisors, LLC … Continue reading
Former Joseph Stone Capital L.L.C. broker Szczepan Kosmaczewski (Steven Carol) (CRD# 7192377) is accused of unauthorized transactions. He was registered with the following firms in his career: Craft Capital Management LLC in New York, New York, from 2022 to 2023 … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker William King (CRD# 1432593), regarding unsuitable and unauthorized trades related to put options. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, … Continue reading