Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker William King (CRD# 1432593), regarding unsuitable and unauthorized trades related to put options. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker Vincent Virga (CRD# 5070668)? He was registered with Madison Avenue Securities, LLC in Bayonne, New Jersey from 2009 to 2021. In December 2020, FINRA suspended him for one month and … Continue reading
Did you lose money investing with former H. Beck, Inc. broker Dan Droeg (CRD# 1509210) and lost money due to variable annuity investment losses? He was registered with United Planners’ Financial Services Of America A Limited Partner in Mesa, Arison … Continue reading
Erez Law is investigating former Phx Financial, Inc. broker Bernard Jasmin (CRD# 4442394), who is accused of unsuitable investment recommendations. He was registered with Phx Financial, Inc. in New York, New York, from 2020 to 2023, and from 2015 to … Continue reading
There are options for clients of former Concorde Investment Services, LLC broker Gary Hughes (CRD# 1700976) who lost money due to unsuitable investment recommendations. He was registered with Concorde Investment Services, LLC in Hermosa Beach, California, from 2013 to 2022. … Continue reading
Oppenheimer & Co. Inc. broker Matthew Steinberg (CRD# 2430032) is accused of Oppenheimer Portfolio Enhancement Program (PEP) investment losses. He has been registered with Oppenheimer & Co. Inc. in Jenkintown, Pennsylvania, since 1994. According to public records, a former client … Continue reading
Barred former First Allied Securities, Inc. broker Rene Bolivar (CRD# 3275996) accused of investment losses. He was registered with First Allied Securities, Inc. in Salinas, California, from 2007 to 2021. Previously, he was registered with Linsco/Private Ledger Corp. in Monterey, … Continue reading
Were you the victim of UBS Financial Services broker Gregory Foster (CRD# 1532735)? He has been registered with UBS Financial Services in Wayzata, Minnesota, since 2010. Gregory Foster Customer Complaints He has been the subject of four customer complaints between … Continue reading
Erez Law is currently investigating former Moloney Securities Co., Inc. broker Scott Lee (CRD# 4409541) related to GWG Holdings Inc. investment losses. He was registered with Ausdal Financial Partners, Inc. in Cold Springs, Minnesota, from 2019 to 2021. He was … Continue reading
There are options for clients of Westpark Capital, Inc. former broker Alfred Vanderlaan (CRD# 1172406), who suffered GWG Holdings Inc. L Bonds losses. Hewas registered with Westpark Capital, Inc. in Watertown, South Dakota, from 2019 to 2022, and with Sandlapper … Continue reading