Erez Law is currently investigating former Kalos Capital, Inc. broker Arni Diamond (CRD# 2667392). Diamond has been registered with Dempsey Lord Smith, LLC in Jacksonville, Florida since September 2018. Previously, Diamond was registered with Kalos Capital, Inc. in Jacksonville, Florida … Continue reading
Erez Law is currently investigating former Ross, Sinclaire & Associates, LLC broker Robert Clarke (CRD# 735940) regarding investment losses. Clarke has been registered with Natalliance Securities, LLC in Austin, Texas since 2017. Previously, Clarke was registered with Ross, Sinclaire & … Continue reading
There are options for clients of Kalos Capital, LLC broker Christopher Shaw (CRD# 5011382) who suffered investment losses. Shaw has been registered with Pruco Securities, LLC in Charlotte, North Carolina since May 2019. Previously, Shaw was registered with Kalos Capital, … Continue reading
In March 2020, a former client of Janney Montgomery Scott, LLC won an award in a FINRA arbitration for compensatory damages for $152,674 plus 9% interest per annum until the sum is paid in full, plus fees for a total … Continue reading
There are options for clients who suffered investment losses due to recommendations by former Independent Financial Group, LLC broker Shawn Davis (CRD# 2911230). Davis was registered with Independent Financial Group, LLC in Auburn, California from 2014 to 2017. Prior to … Continue reading
There are options for clients that suffered investment losses due to recommendations from former LPL Financial LLC broker Donald Woods (CRD# 727894). Woods was registered with Thurston Springer Financial in Louisville, Kentucky from 2016 to 2018 and previously with LPL … Continue reading
There are options for clients of former Dawson James Securities, Inc. broker Kevin Barbalance (CRD# 4456476) who suffered investment losses due to unsuitable investment recommendations. Barbalance was registered with Corinthian Partners, L.L.C. in Middletown, New Jersey from 2015 to 2016 … Continue reading
Erez Law is currently investigating National Securities Corporation broker Christopher Ortiz (CRD# 2858626) regarding the suitability of private placements. Ortiz has been registered with National Securities Corporation in Melville, New York since 2004. Private placements are stocks, bonds, or securities … Continue reading
Erez Law is currently investigating National Securities Corporation broker Michael Burkoff (CRD# 2751980) regarding unsuitable investment recommendations. Burkoff has been registered with National Securities Corporation in New York, New York since 2001. Burkoff has been the subject of four customer … Continue reading
In February 2020, a former client of Stifel, Nicolaus & Company, Inc. won an award in a FINRA arbitration for compensatory damages for $500,000 for investment losses. The investors were clients of broker John Lisowski (CRD# 1011572). The causes of … Continue reading