Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Gerardo Castillo (CRD# 2886319) regarding unit investment trusts (UITs) losses. He has been registered with Insigneo Securities, LLC in Miami, Florida since 2018. Previously, he was registered with … Continue reading
Did your broker execute unsuitable short-term trading strategies? It is alleged that brokers across the country excessively traded unit investment trusts (UITs), which are investments that are meant to be held long term. According to FINRA, the regulatory agency reached settlements … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Shawn Burke (CRD# 2615449) regarding common and preferred stocks losses. Burke has been registered with Morgan Stanley in Perrysburg, Ohio since 2020. Previously, Burke was registered with Wells … Continue reading
There are options for clients of former LPL Financial LLC brokers Kristine Hartland (CRD# 2101877) and Bob Hartland (CRD# 2253564). Kristine Hartland has been registered with Ameriprise Financial Services, LLC in Edina, Minnesota since 2016. Previously, Kristine Harland was registered … Continue reading
Were you the victim of Benjamin F. Edwards & Company, Inc. broker Samuel Annitto (CRD# 822704)? Annitto has been registered with Benjamin F. Edwards & Company, Inc. in Red Bank, New Jersey since 2014. Annitto has been the subject of … Continue reading
Erez Law is currently investigating former FSC Securities Corporation broker Leonard Fox (CRD# 1034449) who was barred by FINRA for misappropriation of customer funds. Fox was registered with FSC Securities Corporation in Marlton, New Jersey from 2013 to 2016. In … Continue reading
Erez Law is currently investigating former Hilltop Securities Inc. broker Walter Valenzuela (CRD# 2280224) regarding investment losses due to unsuitable investment recommendations in Unit Investment Trusts (UITs). Valenzuela has been registered with Kestra Investment Services, LLC in San Diego, California … Continue reading
In May 2020, FINRA sanctioned Stifel, Nicolaus & Company Inc. to pay $3.65 million for unit investment trust (UIT) violations, including $1.9 million in restitution plus interest to more than 1,700 customers; FINRA also fined Stifel, Nicolaus & Company Inc. … Continue reading
Were you the victim of Presidential Brokerage, Inc. broker Gregory Williams (CRD# 1561089)? Gregory Williams was registered with Forta Financial Group, Inc. in Greenwood Village, Colorado from 2011 to 2020. Previously, Gregory Williams was registered with Morgan Stanley Smith Barney … Continue reading
Were you the victim of former Raymond James & Associates, Inc. broker E Kyle Davis (CRD# 2995789)? Davis has been registered with Ameriprise Financial Services, LLC in Atlanta, Georgia since January 2019. Previously, Davis was registered with Raymond James & … Continue reading