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Erez Law is currently investigating financial advisors across the United States who recommend their clients invest in GPB Capital Holdings, a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to … Continue reading
Did you suffer investment losses with former Questar Capital Corporation financial advisor Todd Lamberty (CRD# 4155573)? Lamberty has been registered with Newbridge Securities Corporation in Sioux Falls, South Dakota since July 2018. Previously, Lamberty was registered with Questar Capital Corporation … Continue reading
There are options for customers of former National Securities Corporation financial advisor Michael Fasciglione (CRD# 1806486) regarding investment losses. Fasciglione has been registered with Aegis Capital Corp. in Bayside, New York since 2017. Previously, Fasciglione was registered with National Securities … Continue reading
Erez Law is currently investigating former RP Capital LLC broker Aaron Maurer (CRD# 3007121) regarding Aequitas investment losses, a Ponzi scheme. Aaron Maurer was registered with Ascendant Alternative Strategies, LLC in Austin, Texas from June 2018 to December 2019. Previously, … Continue reading
Did you lose money investing with former Foresters Equity Services, Inc. financial advisor Michael Rappa (CRD# 4799159)? Rappa was registered with Foresters Equity Services, Inc. in San Diego, California from 2010 to 2017. In February 2019, FINRA barred Rappa after … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Hornor, Townsend & Kent, Inc. financial advisor Thomas Sova (CRD# 431135) regarding Woodbridge Group of Companies losses. Sova was registered with Hornor, … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. financial advisor Jonathan Pyne (CRD# 2580510) regarding unsuitable investment recommendations. Pyne has been registered with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis, Minnesota since 2007. Pyne … Continue reading
In February 2018, a former client of Wells Fargo Clearing Services won an award in a FINRA arbitration for compensatory damages for $750,000, plus 9% interest per annum and $36,600 in witness fees for losses sustained from investments in the … Continue reading
In October 2021, a former client of Wells Fargo Advisors Financial Network, LLC won an award in a FINRA arbitration for compensatory damages for $2,998,814.81. The complaint was regarding broker John Schmidt (CRD# 708094), who was registered with Wells Fargo … Continue reading
In March 2019, the Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge. According to the SEC order, “Wedbush ignored numerous … Continue reading