Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Erez Law is currently investigating former Edward Jones financial advisor John Maloney III (CRD# 726108) regarding customer investment losses. Maloney has been registered with Woodbury Financial Services, Inc. in Morristown, Tennessee since June 2016. Previously, he was registered with Edward … Continue reading
Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since … Continue reading
Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
Former Kovack Securities Inc. financial advisor Andrew Corbman (CRD# 2513558) regarding accused of recommending unsuitable penny stocks. Corbman was registered with Newbridge Securities Corporation in Lansdowne, Virginia from November 2015 to March 2016 and with Kovack Securities Inc. in Lansdowne, … Continue reading
Erez Law is currently investigating former Summit Brokerage Services, Inc. financial advisor Larry Werbel (CRD# 828351) regarding selling away and unsuitable investment recommendations. Werbel has been registered with Concorde Investment Services, LLC in Chagrin Falls, Ohio from April 2015 to … Continue reading
There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008. Curtis has been the subject of … Continue reading
There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001. Walk has been … Continue reading
Former Stifel, Nicolaus & Company, Inc. financial advisor Jon Schmidhammer (CRD# 1548931) barred by the Securities and Exchange Commission (SEC) regarding negligence, unsuitable management, unauthorized trading and securities violations related to a penny stock offering. Schmidhammer was registered with Stifel, … Continue reading