Did your broker execute unsuitable short-term trading strategies? It is alleged that brokers across the country excessively traded unit investment trusts (UITs), which are investments that are meant to be held long term. According to FINRA, the regulatory agency reached settlements … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Peter David (CRD# 1133608) regarding suitability concerns leading to investment losses. Peter David has been registered with Woodbury Financial Services, Inc. in Waukesha, Wisconsin from 2009 to 2018. Peter … Continue reading
Were you the victim of former Cambridge Investment Research, Inc. broker Daniel Holman (CRD# 1100133)? Daniel Holman has been registered with Cambridge Investment Research, Inc. in Osford, Michigan from 2013 to 2016. Daniel Holman Suitability Concerns Daniel Holman has been … Continue reading
There are options for clients of broker David Volpe (CRD# 2543478) who suffered investment losses. David Volpe was registered with First Financial Equity Corporation in Scottsdale, Arizona from January to May 2019, when he was terminated regarding, “Failure to notify … Continue reading
Were you the victim of former SunTrust Investment Services, Inc. broker Sandra McKoy (CRD# 2954755)? Sandra McKoy has been registered with Kovack Securities Inc. in Tamarac, Florida since 2019. Previously, Sandra McKoy was registered with Citigroup Global Markets Inc. in … Continue reading
Erez Law is currently investigating former David Lerner Associates, Inc. broker Jeffrey Basford (CRD# 5077566) regarding energy sector losses. He was registered with David Lerner Associates, Inc. in Westport, Connecticut from 2006 until 2022. It is alleged that he recommended … Continue reading
Were you the victim of Janney Montgomery Scott LLC broker Kirk Pickell (CRD# 2294187)? Kirk Pickell has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island since 2002. Kirk Pickell Faces $10 Million Customer Complaint Kirk Pickell has … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Roderick Lipsey (CRD# 4270444). Roderick Lipsey has been registered with UBS Financial Services Inc. in Washington, DC since … Continue reading
There are options for clients of former Securities America, Inc. broker Christina Orta (CRD# 3278327) who suffered investment losses. Christina Orta has been registered with Cambridge Investment Research, Inc. in Westlake, California since 2014. Previously, Christina Orta was registered with … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Steven Richardson (CRD# 1819383) regarding excessive trading. Steven Richardson has been registered with LPL Financial LLC in Danville, California since 2018. Previously, Steven Richardson was registered … Continue reading