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Erez Law is currently investigating former HD Vest Investment Services financial advisor Thomas Laws (CRD# 4494448) regarding losses associated with Santa Fe Gold Corporation. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to 2017. In November 2018, The United States Securities and Exchange Commission (SEC) alleged that Laws […]

Erez Law is currently investigating David Lerner Associates, Inc. financial advisor Darren Nomberg (CRD# 5034416) regarding Puerto Rico bond losses. Nomberg has been registered with David Lerner Associates, Inc. in Boca Raton, Florida since 2005. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. The deterioration of Puerto […]

Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Grillo (CRD# 2643787) regarding mutual fund losses. Grillo has been registered with Cambridge Investment Research, Inc. in Carrollton, Georgia since 2008. Grillo has been the subject of one customer complaint, according to his CRD report: June 2018. “The claimants allege their investments were […]

Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Steve Reznick (CRD# 1067199) regarding investment losses due to sales practice violations. Reznick has been registered with Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to 2018. Reznick has been the subject of 12 customer complaints between 1998 and 2018, according […]

Former Wells Fargo Clearing Services, LLC financial advisor James Schaedler Jr. (CRD# 4264512) has nearly $1 million customer complaint regarding misappropriation of funds. Schaedler was registered with Wells Fargo Clearing Services, LLC in Anaheim, California from 2010 to 2017, when he was terminated regarding, “Discharged after allegations that the financial advisor’s daughter received funds via […]

Have you been the victim of former Questar Capital Corporation financial advisor Jerry Michna (CRD# 2711435)? Michna has been registered with Cetera Advisor Networks LLC in Louisville, Ohio since August 2017. Previously, Michna was registered with Questar Capital Corporation in Louisville, Ohio from 2006 to August 2017. Michna has been the subject of two customer […]

There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011. Ebrahimi has been the subject of four customer complaints between 2008 and 2018, according to his CRD report. Recent […]

Erez Law is currently investigating former National Securities Corporation financial advisor Thomas Kelly (CRD# 2877415) regarding unsuitable investment recommendations. Kelly has been registered with Aegis Capital Corp. in New York, New York since May 2018. Previously, Kelly was registered with National Securities Corporation in New York, New York from 2008 to 2018. Kelly has been […]

There are options for customers of Merrill Lynch financial advisor Jarett Liddicoat (CRD# 4853499) regarding investment losses. Liddicoat has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, California since 2004. Liddicoat has been the subject of one customer complaint, according to his CRD report: October 2018. “The Customer alleges misrepresentation, failure […]

In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, plus $68,800 in attorney’s fees and $100,000 in punitive damages, and $20,000 in costs for losses sustained from unsuitable investments in the high risk energy sector. The causes of action included violations […]