Category: Unsuitable Investments
In February 2018, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for $229,250.00 in compensatory damages plus 3% interest per annum plus $25,000.00 in attorneys’ fees for losses sustained from investments in … Continue reading
There are options for customers of former Laidlaw & Company financial advisor Patrick Maddren (CRD# 4665903) regarding losses sustained from unauthorized trading, churning and unsuitable investment recommendations. Maddren has been registered with Westpark Capital, Inc. in Fort Lauderdale, Florida since … Continue reading
Did you lose money investing with former Ameriprise Financial Services, Inc. financial advisor (CRD# 1558909) who is alleged to make unsuitable investment recommendations? Parks was registered with Ameriprise Financial Services, Inc. in Stephenville, Texas from 1993 to 2016. Parks is not … Continue reading
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor James Lowther (CRD# 2043169) who is alleged to recommend unsuitable investments, including energy stocks and master limited partnerships (MLPs)? Lowther has been registered with Merrill Lynch, … Continue reading
Were you the victim of Hennion & Walsh, Inc. financial advisor Stephen Kowalski (CRD# 1919574) regarding unsuitable investments in municipal bonds or Puerto Rico bonds? Kowalski has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1990. … Continue reading
Were you a victim of former Oppenheimer & Co. Inc. financial advisor Leslie Flaum (CRD# 1369557) regarding unsuitable recommendations and other securities violations? Flaum was registered with Oppenheimer & Co. Inc. in Melville, New York from 1994 to August 2017. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Garden State Securities, Inc. broker Jason Zwibel (CRD# 2460258) regarding unsuitable investments, negligence, and other securities violations. Zwibel has been registered with Garden … Continue reading
Were you the victim of former PlanMember Securities Corporation broker Raymond Menna (CRD# 1918097) who is alleged to engage in unauthorized trading, unsuitable investments, and other securities violations? Previously, Menna was registered with PlanMember Securities Corporation in Farmingville, New York … Continue reading
In January 2018, FINRA awarded a group of 17 investors $4.3 million, alleging that former First Allied Securities Inc. financial advisor Anthony Diaz (CRD# 4131948) put their retirement savings into risky, unsuitable investments. Diaz and First Allied Securities Inc. must … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. financial advisor James Edward Lyons (Eddie Lyons) (CRD# 1020397) regarding unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs). Lyons was registered with Raymond James & … Continue reading