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Erez Law Investigating Claims Involving Mark “Steve” Garrison and Atlantic Bullion & Coin, Inc.

Posted on Friday, October 3rd, 2014 at 6:34 pm    

Erez Law is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $37,043.57 and suspended from association with any FINRA member in any capacity for 14 months.… Read More

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Fannie Mae/Freddie Mac Securities Tumble Following Dismissal of Investor Suits Alleging Government Sweep of Profits to be Illegal

Posted on Thursday, October 2nd, 2014 at 6:51 pm    

On Tuesday, September 30, 2014, after the markets closed, U.S. District Judge Royce Lamberth issued an order dismissing lawsuits filed by Fairholme Capital Management LLC, Perry Capital LLC, and other shareholders, which claimed that the government acted illegally in 2012 when it enacted legislation requiring Fannie Mae and Freddie Mac to pay nearly all of… Read More

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Erez Law Investigating Claims Involving S.G. Investments and Former Raymond James Broker Claus C. Foerster of South Carolina

Posted on Thursday, September 18th, 2014 at 11:05 am    

Erez Law is investigating claims regarding Claus Christoph Foerster (CRD #1912949, Spartanburg, South Carolina). Foerster recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he permanently was barred from association with any FINRA member firm. See FINRA Case #2014041483401. Foerster was associated with Raymond James & Associates, Inc., from February 2013… Read More

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS For Widow, Elderly Mother, and Disabled Relative With More Than $1 Million in Losses Related to Puerto Rico Debt and Puerto Rico-Focused UBS Bonds

Posted on Saturday, September 13th, 2014 at 12:34 pm    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 68-year-old widow, her 102-year-old mother, and her 59-year-old disabled sister-in-law. Aldarondo & Lopez Bras is a separate law firm only licensed to practice law in Puerto… Read More

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Erez Law Investigating Claims Involving Ann Maria Ferrao

Posted on Wednesday, September 3rd, 2014 at 8:27 am    

Erez Law is investigating claims regarding Ann Maria Ferrao (CRD #4481123, Miami, Florida). Ferrao recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2014040438401. Ferrao was registered with HSBC Securities (USA), Inc., from July 2005 until… Read More

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Erez Law Investigating Claims Involving Former Edward Jones Broker Richard Andrew Christensen Jr.

Posted on Wednesday, August 27th, 2014 at 8:23 am    

Erez Law is investigating claims regarding Richard Andrew Christensen Jr.(CRD #875932, St. Charles, Missouri). Christensen recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for a month. See FINRA Case #2012032790401. Christensen was registered with Edward… Read More

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Erez Law Investigating Claims Involving Michael Wurdinger and GWG Renewable Secured Debentures

Posted on Friday, August 22nd, 2014 at 1:28 pm    

Erez Law is investigating claims regarding Michael John Wurdinger (CRD #4926912, St. Louis, Missouri), also known as Mike Wurdinger. Wurdinger recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was suspended from association with any FINRA member in any principal capacity for six months and required to requalify by examination… Read More

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Erez Law Investigating Claims Involving Paul Gerard Chiampa

Posted on Friday, August 15th, 2014 at 8:25 am    

Erez Law is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. See FINRA Case #2012034926401. Chiampa has been registered… Read More

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SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

Posted on Sunday, July 27th, 2014 at 10:12 pm    

The Securities and Exchange Commission recently approved the implementation of FINRa Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant’s agreement not to oppose expungement of the dispute from the brokers’ public record. Once information is expunged from the CRD system, it is permanently deleted and becomes unavailable to… Read More

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SEC Charges Compel Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings

Posted on Thursday, July 24th, 2014 at 10:34 pm    

The Securities and Exchange Commission recently charged three Morgan Stanley entities with misleading investors in a two residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. In anticipation of the charges, Morgan Stanley submitted an offer of settlement, which the SEC accepted, wherein Morgan Stanley would pay $275 million to be returned… Read More

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