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Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Keith Simmons (CRD# 730619) regarding unsuitable investment recommendations. Simmons has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, Florida since 1981. Simmons has … Continue reading →

Former Sandlapper Wealth Management, LLC broker Scott Ozer (CRD# 1009252) is accused of unsuitable investment recommendations. Ozer has been registered with Emerson Equity LLC in Agoura Hills, California since 2019. Previously, Ozer was registered with Sandlapper Wealth Management, LLC in … Continue reading →

Erez Law is currently investigating former UBS Financial Services Inc. broker David Fenning (CRD# 1005307) regarding equities investment losses. Fenning has been registered with Morgan Stanley in New York, New York since 2019. Previously, Fenning was registered with UBS Financial … Continue reading →

Were you the victim of Kalos Capital, Inc. broker Gene Esplin (CRD# 3133447)? Esplin has been registered with Kalos Capital, Inc. in Pocatello, Idaho from 2015 to 2019. Esplin has been the subject of one customer complaint, according to his … Continue reading →

There are options for customers who suffered investment losses due to recommendations by Investment Planners, Inc. broker James Parrelly (CRD# 728368). Parrelly was registered with Investment Planners, Inc. in South Lyon, Michigan between 2015 and 2020, when he was terminated … Continue reading →

There are options for customers of former National Securities Corporation broker Thomas Kelly Jr. (CRD# 2877415) who suffered investment losses. Kelly has been registered with Aegis Capital Corp. in New York, New York since May 2018. Previously, Kelly was registered … Continue reading →

There are options for customers who suffered investment losses due to recommendations by Lucia Securities, LLC broker Scot Fairchild (CRD# 2323211). Fairchild has been registered with Lucia Securities, LLC in Henderson, Nevada since 2012. Fairchild has been the subject of … Continue reading →

There are options for customers of former Aegis Capital Corp. broker Robert Buffington (CRD# 5220332). Buffington has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2019. Buffington has been the subject of four customer … Continue reading →

Erez Law is currently investigating BMA Securities, LLC broker Martin Noonan Jr. (CRD# 2982159) regarding unsuitable investment recommendations. Noonan has been registered with BMA Securities, LLC in El Segunda, California from 2013 to 2020. In May 2020, FINRA barred Noonan … Continue reading →

Were you the victim of Arkadios Capital broker Kevin Rainwater (CRD# 3098443)? Rainwater has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with ACG Wealth Inc. in Atlanta, Georgia since 2010. Rainwater has been the subject of … Continue reading →