Category: Unsuitable Investments
Erez Law is currently investigating Commonwealth Financial Network financial advisor Lloyd Henry Dotson (CRD# 2551716) regarding private securities transactions and conducting outside business activities. Dotson has been registered with Commonwealth Financial Network in New Canaan, Connecticut from 2006 before he … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Donnie Eugene Ingram (CRD# 1416971) regarding unsuitable investment recommendations. Ingram was registered with Investors Capital Corp. in Winter Haven, Florida from 1997 to 2016. He has been registered with … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Paul Anthony (CRD# 1157930). Anthony was registered with Rhodes Securities in Forth Worth, Texas from 1995 to 2015. Anthony was terminated from his employment at Rhodes Securities regarding … Continue reading
Erez Law is currently investigating former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) regarding outside business activities for an unregistered and illiquid company. Parthemer was registered with Wells Fargo in Fort Lauderdale, Florida from 2011 to 2015 and Morgan … Continue reading
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Daniel Fain (CRD# 500386) regarding overconcentrated and unsuitable investments. Fain has been registered with Wells Fargo in Boca Raton, Florida since 2003. In one recent case of broker misconduct, two retired … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisors across the country on behalf of customers who experienced losses due to unsuitable investments in inverse exchange-traded funds (inverse ETFs). Inverse ETFs use short selling and other advanced investment techniques to … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisor Karl Horace Romero (CRD# 403473) regarding unsuitable investment recommendations. Romero was registered with LPL Financial in Santa Ana, California from 1989 to 2016. Romero is currently not registered with any … Continue reading
Erez Law is currently investigating former New York-based Morgan Stanley financial advisor Jeffrey Neil Cadan (CRD# 2726285). Cadan was registered with Morgan Stanley in New York, New York since 2011 and was terminated in December 2016 for “Concerns related to … Continue reading
Erez Law is currently investigating Cetera Advisors LLC financial advisor James Christopher Hayne (CRD# 3257845) regarding a large list of allegation, including unsuitable recommendations, failure to diversify, excessive commissions, excessive trading, unauthorized trading, fraud, negligence, breach of contract, and failure … Continue reading