Category: Unauthorized Trades
Erez Law is currently investigating former Aegis Capital Corp. broker Douglas Szempruch (CRD# 4159318) regarding unauthorized trading. Douglas Szempruch was registered with Aegis Capital Corp. in Melville, New York from 2011 to 2021. In July 2021, FINRA sanctioned Douglas Szempruch … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. broker Joel Kichline (CRD# 1416219), who is accused of unauthorized trading. Joel Kichline has been registered with Stifel, Nicolaus & Company, Incorporated in Frontenac, Missouri since 2020. Previously, Joel … Continue reading
Were you the victim of former Ameriprise Financial Services, LLC broker James Dunn (CRD# 6084258)? James Dunn was registered with Ameriprise Financial Services, LLC in Vienna, Virginia from 2019 to 2021, when he was terminated regarding, “Registered representative resigned while … Continue reading
Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding excessive and unauthorized trading in customer accounts, including one elderly customer. Trevor Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California … Continue reading
Were you the victim of former Wells Fargo Clearing Services, LLC broker Marcus Parker (CRD# 1031962)? Marcus Parker was registered with Wells Fargo Clearing Services, LLC in Santa Fe, New Mexico from 2008 to 2017. Marcus Parker Barred by FINRA … Continue reading
Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014. … Continue reading
Erez Law is currently investigating former American Independent Securities Group, LLC broker Nathan Katz (CRD# 846475) who faces a customer complaint for fixed annuities losses. Katz was registered with American Independent Securities Group, LLC in Largo, Florida from 2018 to … Continue reading
Were you the victim of former Cetera Advisors LLC broker Walter Allen (CRD# 1344149)? Allen was registered with Cetera Advisors LLC in Suffield, Connecticut from 2016 to 2020, when he was terminated regarding “the advisor was terminated after the firm … Continue reading
Were you the victim of former Equitable Advisors, LLC broker Kevin Klickna (CRD# 5640324)? Klickna was registered with Equitable Advisors, LLC in Springfield, Illinois from 2013 to 2021, when he was terminated regarding “RR discharged due to repeated document integrity … Continue reading