Erez Law is currently investigating Moloney Securities Co., Inc. broker Juliann Smith (CRD# 1338081) regarding unsuitable investment recommendations. She has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri since 2003. Juliann Smith Customer Complaints She has been … Continue reading
Erez Law is currently investigating former Cambridge Investment Research, Inc. broker Clifton Higgs (CRD# 5492596) who is accused of energy sector losses. He has been registered with Securities Management & Research, Inc. in Denton, Texas since 2017 and with BFC … Continue reading
Erez Law is currently investigating David Lerner Associates, Inc. broker Richard Eden (CRD# 2145727) regarding energy sector losses. He has been registered with David Lerner Associates, Inc. in Lawrenceville, New Jersey since 1991. Richard Eden Customer Complaints He has been … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Berthel, Fisher & Company Financial Services, Inc. broker Mark Joneson (CRD# 4119915) regarding over-concentrated and unsuitable investment recommendations. He has been registered … Continue reading
There are options for customers of Capital Investment Group, Inc. broker Brett Rutherford (CRD# 4001310) who suffered losses due to investments in GWG Holdings Inc. He has been registered with Capital Investment Group, Inc. in Morehead City, North Carolina since … Continue reading
Erez Law is currently investigating brokers registered with Advisor Group firms who recommended GPB Capital Holdings investments. In December 2022, four Advisor Group firms were ordered to pay $1.3 million in fines and restitution to clients related to the sale … Continue reading
Were you the victim of Wells Fargo Clearing Services, LLC broker William Moening (CRD# 3029155)? He has been registered with Wells Fargo Clearing Services, LLC in Austin, Texas since 2009. William Moening Customer Complaints He has been the subject of … Continue reading
Erez Law recently filed a FINRA arbitration against Newbridge Securities Corporation and broker John Moy (CRD #848350). The Erez Law client alleges the following in the newly filed FINRA claim: The elderly client informed his broker that he recently sold … Continue reading
Were you the victim of J.W. Cole Financial, Inc. broker Rebecca Gaylor (CRD# 1452113) who is accused of unsuitable investment recommendations leading to energy sector losses? She has been registered with J.W. Cole Advisors, Inc. in Phoenix, Arizona since 2002 … Continue reading
There are options for clients of former First Allied Advisory Services, Inc. broker Peter Rhee (CRD# 2326728) who is accused of unsuitable investment recommendations. He has been registered with Cetera Advisors LLC in Frankfort, Illinois since 2022. Previously, he was … Continue reading