Category: Unsuitability
Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. financial advisor Jerry Dewayne McCutchen Sr. (CRD# 1076678) regarding unsuitable recommendations with regard to the purchase of certain alternative investments. McCutchen was registered with Berthel, Fisher & … Continue reading
Erez Law is currently investigating Commonwealth Financial Network financial advisor Lloyd Henry Dotson (CRD# 2551716) regarding private securities transactions and conducting outside business activities. Dotson has been registered with Commonwealth Financial Network in New Canaan, Connecticut from 2006 before he … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Donnie Eugene Ingram (CRD# 1416971) regarding unsuitable investment recommendations. Ingram was registered with Investors Capital Corp. in Winter Haven, Florida from 1997 to 2016. He has been registered with … Continue reading
Erez Law is currently investigating former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) regarding outside business activities for an unregistered and illiquid company. Parthemer was registered with Wells Fargo in Fort Lauderdale, Florida from 2011 to 2015 and Morgan … Continue reading
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kirk J. Gill (CRD# 2291503) regarding unsuitable and overconcentrated investments. Gill was registered with First Financial Equity Corporation in Tucson, Arizona from 2016 to 2018, when he was terminated regarding, “Failure … Continue reading
Erez Law is currently investigating former Wells Fargo financial advisor Jeffrey Alan Hill (CRD# 2204945) regarding initiating trades of municipal and corporate bonds for customers without their consent and recommending transactions that were not suitable for his customers. Hill was … Continue reading