Category: Unauthorized Trades
Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. related to recommendations to invest in the company’s high risk and unsuitable Yield Enhancement Strategy (YES). It is alleged that UBS Financial Services Inc. was targeting high net … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Jermaine Benjamin (CRD# 6152653) regarding unauthorized transactions. He was registered with Raymond James Financial Services, Inc. in St Petersburg, Florida from 2020 to 2022. Previously, he was registered with Pruco … Continue reading
Can I recover losses from investments with former BCG Securities, Inc. broker Mark Cohen (CRD# 4534879) due to unsuitable investment recommendations? He was registered with BCG Securities, Inc. in New York, New York from 2014 to 2018. Previously, he was … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Eugene Thompson (CRD# 4350479) regarding GWG Holdings, Inc. investment losses. He has been registered with Capital Investment Group, Inc. in Wallace, North Carolina since 2014. Eugene Thompson Customer Complaints He … Continue reading
Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker David Ebner (CRD# 2962914)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, Pennsylvania since 1997. David Ebner Customer Complaints … Continue reading
There are options for customers of former Arive Capital Markets broker Christopher Fusco (CRD# 5981205) who suffered investment losses due to unsuitable investment recommendations. He was registered with Joseph Stone Capital L.L.C. in Mineola, New York from 2019 to 2020. … Continue reading
Can I recover losses from Triad Advisors LLC broker Patrick Chitwood (CRD# 871271) who is accused of unsuitable investment recommendations related to alternative investments? He has been registered with Triad Advisors LLC in Asheville, North Carolina since November 2021. Previously, … Continue reading
There are options for customers of former HD Vest Investment Services broker Travis Eiland (CRD# 4127872) who is accused of unsuitable investment recommendations. He has been registered with HD Vest Investment Services (Avantax Investment Services, Inc.) in Bayton, Texas from … Continue reading
There are options for customers of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Olga Kapitskaya (CRD# 2587114) who is accused of unsuitable investment recommendations. She has been registered with RBC Capital Markets, LLC in Beverly Hills, California since … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Jamie Nowakowski (CRD# 4472043) regarding GWG Holdings Inc. L Bonds losses. He has been registered with Equitable Advisors, LLC in Hebron, Connecticut since 2020. Previously, he was registered with Coastal Equities, … Continue reading