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Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Venturino has been registered with Spartan Capital Securities, LLC in Garden City, New York since April 2018. Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with […]

  Were you the victim of barred financial advisor Phillip Johnson (CRD# 501352)? Johnson was registered with D.H. Hill Securities, Lllp in Kingwood, Texas from April 2016 to December 2017 and with Suntrust Investment Services, Inc. in Nashville, Tennessee from 2003 to 2015, when he was terminated regarding, “entered into a loan agreement with existing […]

Erez Law is currently investigating former Morgan Stanley financial advisor Mohamed Yassin (CRD# 1673281) regarding investment losses due to excessive trading. Yassin was registered with National Securities Corporation in Westbury, New York from September 2017 to July 2018. Previously, Yassin was registered with Morgan Stanley in Garden City, New York from 2010 to 2017, when […]

Were you the victim of former Alexander Capital, L.P. financial advisor Michael Castillero (CRD# 4583917)? Castillero was registered with Windsor Street Capital, LP in New York, New York from June to October 2017 and previously with Alexander Capital, L.P. in New York, New York from 2014 to 2017. In February 2019, FINRA barred Castillero after […]

Did you lose money investing in UBS Yield Enhancement Strategy (YES strategy)? The UBS Yield Enhancement Strategy was marketed as an options strategy that was promotes as a safe way to provide investors with additional income. However, this was not the case and many investors were not aware of the risks in investing, and they […]

Erez Law is currently investigating former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) regarding excessive and unsuitable closed end fund (CEF) transactions. Mewhinney was registered with Morgan Stanley in Dallas, Texas from 2009 to 2018. Mewhinney has been the subject of two customer complaints between 2008 and 2018, according to his CRD report: […]

In February 2019, FINRA fined Kestra Investment Services, LLC and required the firm to pay $1,947,704 in restitution for overcharging Eligible Customers for mutual fund purchases, as well as a fine of $225,000 and remediation to Eligible Customers who did not receive, the applicable mutual fund sales charge waiver. FINRA found that Kestra disadvantaged certain […]

Geneos Wealth Management, Inc. financial advisor Katrina Barrett (CRD# 5297739) allegedly recommended her clients investment in LJM Capital Preservation and Growth Fund. Barrett has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona since 2009. LJM Partners is an investment management firm that operates the mutual fund LJM Capital Preservation and Growth Fund (NASDAQ:LJMIX). […]

In February 2019, FINRA former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) to 40 months in prison following a guilty plea to one count of securities fraud in October 2017. Buck was registered with RBC Capital Markets, LLC in Indianapolis, Indiana from April to July 2015 and previously with Merrill […]

In February 2019, FINRA barred Former MSI Financial Services, Inc. financial advisor Floyd Powell (CRD# 2220029) related to investment losses due to his recommendations in the Woodbridge Group of Companies, which is now a known Ponzi Scheme. Powell has been registered with MML Investors Services, LLC in Albertville, Alabama from March 2017 to February 2018 […]