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Erez Law is currening former Morgan Stanley broker David Kraft (CRD# 2356400) regarding unauthorized trades in customer accounts. Kraft has been registered with Morgan Stanley in Palm Beach Gardens, Florida from 2012 to 2019. In December 2019, FINRA suspended Kraft … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker James McKinney (CRD# 2100850) who suffered investment losses. McKinney was registered with Cetera Advisors LLC in Tulsa, Oklahoma from 2012 to 2019. In March 2020, FINRA barred McKinney after he … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, LLC broker Arthur Hoffman (CRD# 3193754) regarding a fraudulent Ponzi scheme. He was registered with Ameriprise Financial Services, LLC in Glendale, Arizona from 2016 to 2020, when he was terminated regarding, … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Kevin Meadows (CRD# 2878889) regarding investment losses. Meadows was registered with IBN Financial Services, Inc. in Liverpool, New York from May 2018 to February 2020. Previously, Meadows was registered … Continue reading
There are options for customers of former Cetera Financial Specialists LLC broker Robert Silverman (CRD# 4582993) regarding unauthorized trading. Silverman has been registered with Cetera Financial Specialists LLC in Red Bank, New Jersey from 2004 to 2019, when he was … Continue reading
Erez Law is currently investigating Crown Capital Securities, L.P. broker Kenneth Barroga (CRD# 2288752) regarding suitability concerns. Barroga has been registered with Crown Capital Securities, L.P. in Watsonville, California since 2011. Barroga has been the subject of five customer complaints … Continue reading
Were you the victim of former Signator Investors, Inc. broker Dee Brooks (CRD# 2559233)? Brooks was registered with Signator Investors, Inc. in Huntington Beach, California from 2015 to 2018, when he was terminated regarding, “The Firm was investigating the representative … Continue reading
Former Royal Alliance Associates, Inc. broker Frank Mastrosimone (CRD# 322615) faces a customer complaint regarding investment losses. Mastrosimone has been registered with Pruco Securities, LLC in Basking Ridge, New Jersey since January 2020 and with Prudential Financial Planning Services in … Continue reading
Erez Law is currently investigating former Alexander Capital, L.P. broker Jody Thompson (CRD# 2391190) regarding private equities investment losses. Thompson has been registered with Alexander Capital, L.P. in New York, New York from 2015 to 2019. In March 2020, FINRA … Continue reading
Erez Law is currently investigating FMSbonds, Inc. broker Paul Antevy (CRD# 2713105) regarding junk bond investment losses. Antevy has been registered with FMSbonds, Inc. in North Miami Beach, Florida since 2003. Antevy has been the subject of four customer complaints … Continue reading