Erez Law is currently investigating Axiom Capital Management, Inc. broker Robert Doyle (CRD# 2309859), who is accused of unauthorized trading. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2002. Robert Doyle Customer Complaints … Continue reading
Former Morgan Stanley broker Ron Filoramo (CRD# 3270398) was barred by FINRA and the Securities and Exchange Commission (SEC) related to unauthorized trading in customer accounts. He has been registered with Morgan Stanley in Fort Lauderdale, Florida, from 2011 to … Continue reading
Erez Law is currently investigating RBC Capital Markets, LLC broker Theresa Allen (CRD# 2183693), who is accused of unsuitable and unauthorized investments. She has been registered with RBC Capital Markets, LLC in Newport Beach, California, since 2023. Previously, he was … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Joseph LaScala (CRD# 3070261), who is accused of unauthorized trading. He has been registered with Aegis Capital Corp. in Melville, New York, since 2012. In February 2022, FINRA sanctioned him to … Continue reading
Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading
There are options for clients of barred former Wedbush Securities Inc. broker Jonathan Way (CRD# 1126849) who suffered investment losses due to unsuitable investment recommendations. He was registered with Wedbush Securities Inc. in Napa, California, from 2002 to 2022. In … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Stephen Hollingsworth (CRD# 1328648) who is accused of unauthorized trades and unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Newton, Massachusetts, since 2010. … Continue reading
Morgan Stanley broker Joseph Dugan (CRD# 1412880) is accused of unauthorized trading. He has been registered with Morgan Stanley in Clayton, Missouri, since 2009. Joseph Dugan Customer Complaints He has been the subject of two customer complaints between 2000 and … Continue reading
There are options for clients of UBS Financial Services Inc. broker Charles Lawson (CRD# 5452641), who is accused of unauthorized trades. He has been registered with UBS Financial Services Inc. in San Jose, California, since 2010. Charles Lawson Customer Complaints … Continue reading
Were you the victim of investment losses with Morgan Stanley broker Horace Barker Jr. (CRD# 1639677)? He has been registered with Morgan Stanley in New York, New York, since 2009. Horace Barker Jr Customer Complaints He has been the subject … Continue reading