Were you the victim of former SW Financial broker Felipe Arrieta (CRD# 4142123)? He was registered with Great Point Capital LLC in Chicago, Illinois, from July to October 2023. Previously, he was registered with the following firms: Moloney Securities Co., … Continue reading
Erez Law is currently investigating Emerson Equity LLC broker Tony Barouti (CRD# 3031995) regarding GWG Holdings L Bonds, a high-yield junk bond. He has been registered with Emerson Equity LLC in Los Angeles, California, since 2017. Tony Barouti GWG Holdings … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Jason Walsh (CRD# 2811047), who is accused of investment losses. He was registered with Centaurus Financial, Inc. in Pasadena, California, from 2018 to 2023. In October 2014, FINRA sanctioned him … Continue reading
Were you the victim of investment losses due to recommendations by D.H. Hill Securities, LLC broker Leslie Kern (CRD# 1140180)? He has been registered with D.H. Hill Securities, LLC in Wilmington, North Carolina, since 2016. Previously, he was registered with … Continue reading
E1 Asset Management, Inc. broker Ron Itin (CRD# 2344151) regarding allegations of failure to supervise. He has been registered with E1 Asset Management, Inc. in Jersey City, New Jersey, since 1999. In June 2015, FINRA suspended him for one month … Continue reading
Morgan Stanley broker Christiana Webb (CRD# 5116707) is accused of investment losses related to options. She has been registered with Morgan Stanley in Peachtree City, Georgia, since 2009. Christiana Webb Customer Complaints She has been the subject of one customer … Continue reading
Wells Fargo Clearing Services, LLC broker Pasquale Capone (CRD# 2487767) faces a $600,000 customer complaint related to preferred stock losses. He has been registered with Wells Fargo Clearing Services, LLC in Woodbury, New York, since 2004. According to public records, … Continue reading
Erez Law is currently investigating brokers nationwide who recommended their clients invest in Silver Star Properties, a non-traded real estate investment trust (REIT). Silver Star Properties owned 44 commercial properties in Texas, which are reportedly worth millions of dollars. Just … Continue reading
Were you the victim of former LPL Financial LLC broker Kevin Houser (CRD# 2513167)? Houser has been registered with Ameriprise Financial Services, LLC in Center Valley, Pennsylvania since 2016. Kevin Houser Customer Complaints He has been the subject of six … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Tarver (CRD# 2569913) regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas, since 1996, Dai Securities, … Continue reading