Category: Unsuitable Investments
Erez Law is currently investigating former Aegis Capital Corp. financial advisor Shadi Barakat (CRD# 5031281) regarding excessive trading and unsuitable investment recommendations. Barakat has been registered with Spartan Capital Securities, LLC in New York, New York since May 2017. Previously, … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor John Telfer (CRD# 1099745) regarding losses sustained from penny stock sales. Telfer was registered with the following firms during the past few years: Meyers Associates, L.P. in New York, … Continue reading
Erez Law is currently investigating First Kentucky Securities Corporation financial advisor William Fenwick Jr. (CRD# 1547907) regarding unsuitable activities. Fenwick has been registered with First Kentucky Securities Corporation in Louisville, Kentucky since 2005. Fenwick has been the subject of three … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Tim Couch (CRD# 4073942) regarding unsuitable recommendations, misrepresentations and high frequency trading in customer accounts. Couch has been registered with Dempsey Lord Smith, LLC in Dawsonville, Georgia since August … Continue reading
Erez Law is currently investigating Prospera Financial Services, Inc. financial advisor John Crook (CRD# 2715424) regarding unauthorized and unsuitable trades, churning and excessive commissions and negligence. Crook has been registered with Prospera Financial Services, Inc. in Macon, Georgia since 2015. … Continue reading
Erez Law is currently investigating former Cetera Advisor Networks LLC financial advisor Mark Koehler (CRD# 2873947) regarding unsuitable trades in senior customer accounts. Koehler was registered with Kovack Securities Inc.in Chadds Ford, Pennsylvania from March 2015 to June 2017. Previously, … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. financial advisor Robert Dagosta (CRD# 1903105) regarding unsuitable investment recommendations. Dagosta has been registered with Berthel, Fisher & Company Financial Services, Inc. in Center Valley, Pennsylvania from 2004. … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor Michael Lavolpe (CRD# 5054798) regarding unsuitable investments. Lavolpe was registered with Meyers Associates, L.P. in New York, New York from 2006 to 2014. In June 2017, FINRA suspended Lavolpe … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Dennis Lee (CRD# 2339083) regarding unsuitable recommendations. Lee was registered with Axa Advisors, LLC in Middle Village, New York from 1993 to 2015, when he was terminated regarding, “RR … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. financial advisor Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April … Continue reading