Erez Law is currently investigating Spartan Capital Securities, LLC broker James Pecoraro (CRD# 2440231) regarding unauthorized trading. He has been registered with Spartan Capital Securities, LLC in Garden City, New York, since 2019. He was registered with SW Financial in … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Robert Moon (CRD# 2431875) regarding unauthorized trading. He has been registered with Rockefeller Financial LLC in Bethesda, Maryland, since 2023, and Rockefeller Capital Management in Bethesda, … Continue reading
Were you the victim of unauthorized trading with Robert W. Baird & Co. Incorporated broker Richard Bingaman (CRD# 2467130)? He has been registered with Robert W. Baird & Co. Incorporated in Elgin, Illinois, since 2018. He was registered with Edward … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Mark Carter (CRD# 6392736) regarding unauthorized trading. He was registered with Pruco Securities, LLC in Charlotte, North Carolina, from 2014 to 2024, when he was terminated regarding, “Registered Representative self-disclosed … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading
Erez Law is investigating Union Capital Company broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations. He has been registered with Union Capital Company in Punta Gorda, Florida, since 2018. He was registered with Kovack Securities Inc. in Punta Gorda, … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker Adam Jacobs (CRD# 4990788)? He has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio, since 2009. Adam Jacobs Customer Complaints He has been the subject of two customer … Continue reading
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