Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Joshua Slish (CRD# 7272170) who lost money due to variable annuity investments. He has been registered with Brighton Securities … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Harold Cho (CRD# 2202603), who is accused of unauthorized trading. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey … Continue reading
In September 2022, FINRA was censured and fined Wedbush Securities Inc. $900,000 for trading violations. Additionally, the firm must certify in writing within 90 days that the firm has supervisory systems and written procedures in place that are “reasonably designed … Continue reading
Were you the victim of Ameriprise Financial Services, LLC broker Brent Makarczyk (CRD# 4278893)? He has been registered with Ameriprise Financial Services, LLC in Nanticoke, Pennsylvania since 2002. Brent Makarczyk Customer Complaints He has been the subject of three customer … Continue reading
Can I recover losses from investments with LPL Financial LLC broker Frederick Arbusto (CRD# 4357069)? He has been registered with LPL Financial LLC in Wakefield, Rhode Island since 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith … Continue reading
There are options for customers of NYLIFE Securities LLC broker Seth Bassin (CRD# 6143779) who suffered variable annuity investment losses. He has been registered with NYLIFE Securities LLC in Saddle Brook, New Jersey since 2013 and with Eagle Strategies LLC … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Kavi Fulena (CRD# 6861339) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California since 2018. Kavi Fulena Customer Complaints … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Jeffrey Somerstein (CRD# 4690840) who suffered investment losses related to unsuitable recommendations. He has been registered with Equitable Advisors, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with CreativeOne Securities, LLC broker Michael Binstock (CRD# 2728462) who is accused of misrepresentation. He has been registered with CreativeOne Securities, LLC in Chanhassen, … Continue reading
In August 2022, Kovack Advisors Inc. entered into a $899,513 settlement with the Securities and Exchange Commission (SEC) regarding the firm’s failure to monitor wrap accounts to determine the suitability for clients, between 2015 and 2018. The settlement, which will … Continue reading