Erez Law is currently investigating former WFG Investments, Inc. financial advisor Jay Jordan (CRD# 1776666) regarding unsuitable purchases of non-traditional ETFs. Jordan has been registered with WFG Investments, Inc. in Oklahoma City, Oklahoma from 2005 to April 2016 when he … Continue reading
Erez Law is currently investigating former Raymond James & Associates financial advisors Angela Graham West (CRD# 3004083) and Leon Rehak (CRD# 2331058) regarding unsuitability and excessive trading in the accounts of a retired customer. It has been recently reported that … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Andrew Yocum (CRD# 4590723) regarding unauthorized transactions, use of discretion without written authorization, and recommending unsuitable concentrated purchases of energy-sector securities to senior investors. Yocum has been registered with Summit … Continue reading
Erez Law is currently investigating Wells Fargo financial advisors across the country regarding losses sustained from unsuitable recommendations of volatility-linked exchange-traded products (ETPs). In October 2017, FINRA ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC … Continue reading
Erez Law recently filed a FINRA arbitration against Wells Fargo Advisors, LLC. The San Francisco, California resident was a customer of former Cetera Advisors, LLC financial advisor Steven Richardson (CRD# 1074713). Their customer alleges that Richardson, who was registered with … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Steven Luftschein (CRD# 2690117) regarding unsuitable recommendations, unauthorized trades and other securities violations. Luftschein was registered with Joseph Stone Capital L.L.C. in Huntington, New York from May 2017 to May … Continue reading
Erez Law is currently investigating former Waddell & Reed financial advisor Steven Fonda (CRD# 2198086) regarding negligence, discretionary trading and unsuitable investments. Fonda has been registered with Waddell & Reed in Reno, Nevada from 2009 to February 2017, when he … Continue reading
Erez Law is currently investigating International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) regarding unsuitable recommendations and unauthorized trades in customer accounts. Spolar has been registered with International Assets Advisory, LLC in Orlando, Florida since April 2015. Previously, … Continue reading
Erez Law recently filed a FINRA arbitration against Cetera Advisors, LLC. The former Cetera Advisors, LLC customer alleges that the Mansfield, Texas-based firm recommended a reckless and unsuitable strategy of dangerously concentrating the client’s irreplaceable retirement savings in a small … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Ramesh Madhusudan (CRD# 5389923) regarding unsuitability, breach of fiduciary duty and churning in customer accounts, among other securities violations. Madhusudan has been registered with Raymond James Financial Services, … Continue reading