Category: Unsuitable Investments

Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Gordon Roberts Jr. (CRD# 1474475) regarding investment losses. Roberts has been registered with Berthel, Fisher & Company Financial Services, Inc. in Mt. Vernon, Illinois since 2008.  Roberts … Continue reading →

Erez Law is currently investigating former Crystal Bay Securities Inc. broker Rafael Golan (CRD# 1074079) who was recently barred by FINRA. Golan has been registered with Crystal Bay Securities Inc. (aka RSG Capital Corp.) in Delray Beach, Florida from 2007 … Continue reading →

Erez Law is currently investigating former Portfolio Advisors Alliance, LLC broker Craig Siegel (CRD# 5759415) regarding investment losses due to unsuitable investment recommendations, excessive trading, and churnings. Siegel has been registered with Portfolio Advisors Alliance, LLC in New York, New … Continue reading →

Did former Voya Financial Advisors, Inc. broker James Flynn (CRD# 3082615) recommend you unsuitable REITs and illiquid investments? According to reports in a local newspaper, in September 2020, Flynn has fled the country and may be in the Caribbean. Flynn … Continue reading →

Were you the victim of former UBS Financial Services Inc. broker David Fagenson (CRD# 1652012)? Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered with UBS Financial Services Inc. in … Continue reading →

Former Raymond James & Associates, Inc. broker James Edward Lyons (Eddie Lyons) (CRD# 1020397) is accused of unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs) linked to the high-risk energy sector. Lyons was registered with Raymond … Continue reading →

Raymond James & Associates, Inc. broker Maria Hendershot (CRD# 818681) is accused of sector concentration leading to investor losses. Hendershot has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2006. Raymond James & Associates, Inc. has … Continue reading →

Former Center Street Securities, Inc. broker Satya Shaw (CRD# 1229175) is alleged to make unsuitable investment recommendations. Satya Shaw was registered with Center Street Securities, Inc. in Wesley Chapel, Florida from 2010 to 2016. In July 2019, the Florida Office of … Continue reading →

Erez Law recently filed a statement of claim against Morgan Stanley. The customer alleges that Jaime Sahlstrom (CRD #4722007), a former broker at Morgan Stanley, recommended a speculative and unsuitable investment strategy of investing the client’s accounts in high risk … Continue reading →

Erez Law recently filed a lawsuit against Jay Jackler, a registered certified public accountant (CPA), who is alleged to recommend his former client invest in the Castleberry Silver Alternative Investment Fund. The allegations in the complaint filed in Palm Beach … Continue reading →