Category: Unauthorized Trades
Former Morgan Stanley broker Thomas Murray (CRD# 1186933) was accused of engaging in an unauthorized investment opportunity. He has been registered with Wells Fargo Clearing Services, LLC in Pasadena, California since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Were you the victim of former Morgan Stanley broker Mark Frommer (CRD# 1553129) regarding unsuitable and unauthorized trades? He has been registered with Oppenheimer & Co. Inc. in Chicago, Illinois since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Erez Law is currently investigating former Equitable Advisors, LLC broker Anthony DiDonna (CRD# 7283414) regarding unauthorized trades. He has been registered with Equitable Advisors, LLC in Woodbury, New York from 2020 to 2021, when he was terminated regarding, “RR discharged … Continue reading
Can I recover losses from investments with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gary Begnaud (CRD# 865927) who is accused of unauthorized trading? He has been registered with Janney Montgomery Scott LLC in Mt. Laurel, New Jersey … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Marc Reda (CRD# 2757330) regarding unauthorized trading. He was registered with Spartan Capital Securities, LLC in New York, New York from 2016 to 2022. Previously, he was registered with … Continue reading
Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Hulley (CRD# 1352411) who recommended common and preferred stocks? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Brea, California … Continue reading
There are options for clients of former Kovack Securities Inc. broker Gerald O’Halloran (CRD# 1056697) regarding unsuitable investment recommendations and unauthorized trading activity. Gerald O’Halloran has been registered with Union Capital Company in Punta Gorda, since 2018. Prior to that, … Continue reading
Erez Law is currently investigating The Rockwell Financial Group, Inc. broker George Fill (CRD# 5396631) regarding unauthorized trades. He has been registered with The Rockwell Financial Group, Inc. in Hicksville, New York since 2016. George Fill Customer Complaints George Fill … Continue reading
Erez Law is currently investigating former Edward Jones broker Ronald Molo (CRD# 4371241) regarding unauthorized trades. Ronald Molo was registered with Edward Jones in Joliet, Illinois from 2001 to 2021, when he was terminated regarding, “Registered representative was terminated after … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker German Nino (CRD# 2653707) regarding unauthorized trades and fraud. German Nino was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2020. In January 2022, the Securities and Exchange … Continue reading