Category: Unsuitable Investments
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor David Fagenson (CRD# 1652012) regarding unsuitable and unauthorized trades. Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Matthew Bell (CRD# 3091864) regarding unsuitable recommendations and misrepresentations related to a pump-and-dump scheme involved a medical education company and two other microcap stocks. Bell was registered with Securities … Continue reading
Erez Law is currently investigating former Caldwell International Securities financial advisor Alex Etter (CRD# 2981742) regarding unsuitable recommendations of an active trading investment strategy to his customers. Etter was registered with Caldwell International Securities in Englewood Cliffs, New Jersey from … Continue reading
Erez Law is currently investigating former Janney Montgomery Scott LLC financial advisor Scott Palmer (CRD# 817586) regarding unsuitable investments. Palmer was registered with Janney Montgomery Scott LLC in Hackensack, New Jersey from 2007 to 2017, when he was permitted to … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Robert Estevez (CRD# 3161419) regarding unsuitable investment recommendations. Estevez has been registered with Joseph Gunnar & Co. LLC in New York, New York since September 2016. Previously, he was … Continue reading
Erez Law is currently investigating former Metlife Securities Inc. financial advisor James Kolf (CRD# 1015682) regarding unsuitable investment recommendations. Kolf was registered with NYLIFE Securities LLC in Madison, Wisconsin from May to August 2016. Previously, he was registered with Metlife … Continue reading
Erez Law is currently investigating former Princor Financial Services Corporation financial advisor Matthew Geiser (CRD# 4203782) regarding unsuitable recommendations and misleading statements about variable annuities to his customers. Geiser was with Independent Financial Group, LLC in Grand Island, Nebraska from … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Travis Dillard (CRD# 1741428) regarding unsuitable investment recommendations. Dillard has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since August 2015. Previously, he was registered with Morgan … Continue reading
Erez Law is currently investigating former Bay Mutual Financial, LLC financial advisor Christopher Ariola (CRD# 2957096) regarding unsuitable and unauthorized trades. Ariola was registered with Financial Telesis Inc. in Aliso Viejo, California from 2012 to 2014. Previously, he was registered … Continue reading
Were you the victim of former WFG Investments, Inc. broker Damian Bell (CRD# 2348521)? Bell has been registered with International Assets Advisory, LLC in Orlando, Florida since June 2017. Previously, he was registered with WFG Investments, Inc. in Daphne, Alabama … Continue reading