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There are options for clients of Kalos Capital, LLC broker Christopher Shaw (CRD# 5011382) who suffered investment losses. Shaw has been registered with Pruco Securities, LLC in Charlotte, North Carolina since May 2019. Previously, Shaw was registered with Kalos Capital, Inc. in Belmont, North Carolina from 2011 to 2019. Shaw has been the subject of […]

In March 2020, a former client of Janney Montgomery Scott, LLC won an award in a FINRA arbitration for compensatory damages for $152,674 plus 9% interest per annum until the sum is paid in full, plus fees for a total of $199,178 in damages granted. The investors were clients of broker Tracey Schusterman (CRD# 1432242).  […]

Did you suffer investments losses due to recommendations by Liberty Partners Financial Services, LLC broker John Davenport (CRD# 1448999)? Davenport has been registered with Liberty Partners Financial Services, LLC in Norwalk, Connecticut since 2016.  In January 2019, FINRA sanctioned Davenport to a $20,000 civil and administrative penalty and fine and suspended him from February to […]

Erez Law is currently investigating Insight Securities, Inc. broker Carlos Legaspy (CRD# 2148751) regarding allegations of fraud. Legaspy has been registered with Insight Securities, Inc. in Highland Park, Illinois since February 2020 and previously with the firm from 2002 to September 2019. Legaspy has been the subject of four customer complaints in 2018 and 2019, […]

There are options for clients who suffered investment losses due to recommendations by former Independent Financial Group, LLC broker Shawn Davis (CRD# 2911230). Davis was registered with Independent Financial Group, LLC in Auburn, California from 2014 to 2017. Prior to that, Davis was registered with WFG Investments, Inc. in Auburn, California from 2012 to 2014. […]

There are options for clients that suffered investment losses due to recommendations from former LPL Financial LLC broker Donald Woods (CRD# 727894). Woods was registered with Thurston Springer Financial in Louisville, Kentucky from 2016 to 2018 and previously with LPL Financial LLC in Louisville, Kentucky from 2010 to 2017.  Woods has been the subject of […]

Erez Law is currently investigating former Whitehall-Parker Securities, Inc. and Independent Financial Group, LLC broker James Lamont (CRD# 2846228) regarding recommending unsuitable Woodbridge Group of Companies investments. Lamont was registered with Whitehall-Parker Securities, Inc. in San Francisco, California from 2015 to 2019 and previously with Independent Financial Group, LLC in Novato, California from 2006 to […]

Were you the victim of Triad Advisors LLC broker Mark Robare (CRD# 1057899)? Robare has been registered with Triad Advisors LLC in Houston, Texas since 2003. In September 2014, the Securities and Exchange Commission (SEC) sanctioned Robare to a $50,000 civil and administrative penalty and fine and cease-and-desist proceedings were brought against Robare regarding, “This […]

There are options for clients of former Dawson James Securities, Inc. broker Kevin Barbalance (CRD# 4456476) who suffered investment losses due to unsuitable investment recommendations. Barbalance was registered with Corinthian Partners, L.L.C. in Middletown, New Jersey from 2015 to 2016 and previously with Dawson James Securities, Inc. in Columbia, Maryland from 2011 to 2015, when […]

In May 2020, Morgan Stanley agreed to pay a $5 million penalty to settle with the Securities and Exchange (SEC), which charged the brokerage firm with providing misleading information to its clients in regard to trade execution services and transaction fees related to retail wrap fee programs. The $5 million settlement will be distributed to […]