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In April 2019, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $415,888, $36,500 in expert witness fees, $2,000 in costs, and $425 for the claim filing fee for a total award … Continue reading
The GMS Group financial advisor William Ornstein (CRD# 500470) has two pending customer complaints for negligence that lead to client investment losses. Ornstein has been registered with The GMS Group in Boca Raton, Florida since 2001. In July 2001, the … Continue reading
In March 2019, a former client of NewBridge Securities filed a FINRA arbitration for losses sustained from GPB Capital Holdings offerings. The client was sold units of GPB Automotive Fund, L.P. as well as non-traded real estate investment trusts (REITs) … Continue reading
Were you the victim of Centaurus Financial, Inc. financial advisor Michael Fassi (CRD# 828921) who recommended unsuitable investment? Fassi has been registered with Centaurus Financial, Inc. in Fort Collins, Colorado and Reno, Nevada since 2006. Fassi has been the subject … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Barbara Kenerson (CRD# 1060984) regarding unsuitable investment recommendations and excessive trading. Kenerson has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island from 1999 to 2018. Kenerson … Continue reading
Former Craig Scott Capital, LLC financial advisor Edward Beyn (CRD# 5406273) was barred by FINRA for churning and excessive trading in customer accounts. Beyn was registered with Rothschild Lieberman LLC in Syosset, New York from 2015 to 2016 and previously … Continue reading
Erez Law is currently investigating Wells Fargo broker Bryan Benson (CRD# 807506) regarding unsuitable investments. Benson has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2007. In April 2020, Benson was barred by FINRA after he … Continue reading
Dawson James Securities, Inc. broker Robert Armstrong PhD (CRD# 5236735) is accused of unsuitable investment recommendations resulting in losses. Armstrong has been registered with Dawson James Securities, Inc. in Boca Raton, Florida since 2012. Armstrong has been the subject of … Continue reading
Former First Standard Financial Company LLC broker James Schwartz (CRD# 3043085), who was barred by FINRA, faces customer complaints regarding suitability. Schwartz was registered with Joseph Gunnar & Co. LLC in New York, New York from December 2016 to February … Continue reading
Former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) accused of excessive trading related to Closed End Funds (CEFs). Mewhinney has been registered with Morgan Stanley in Dallas, Texas from 2009 to August 2018. Mewhinney has been the subject … Continue reading