Blog
Did you lose money investing in Puerto Rico bonds with Morgan Stanley financial advisor Alberto Castaner (CRD# 1603341)? Castaner has been registered with Morgan Stanley in Ft. Lauderdale, Florida since 2014. Previously, Castaner was registered with Popular Securities, LLC in … Continue reading
Deceased Former National Planning Corporation broker Dexter Thomas (CRD# 1074222) has numerous customer complaints for personal loans. Thomas was registered with United Planners’ Financial Services Of America A Limited Partner in Dallas, Texas from November 2017 to August 2018, when … Continue reading
Former Edward Jones financial advisor Curtis Howard (CRD# 1390753) has pending $1 million customer complaint for investment losses. Howard has been registered with Harbor Financial Services, LLC in Mobile, Alabama since September 2017. Previously, Howard was registered with Edward Jones … Continue reading
Erez Law recently filed a FINRA arbitration against International Assets Advisory, LLC. The Erez Law client alleges that Michael Spolar (CRD# 2192992), who was a registered representative of International Assets Advisory, LLC, implemented a speculative and unsuitable investment strategy without … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Walter Valenzuela (CRD# 2280224) regarding investment losses due to unsuitable investment recommendations. Valenzuela has been registered with Hilltop Securities Inc. in Del Mar, California since 2008. Valenzuela has been the … Continue reading
Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, … Continue reading
Were you the victim of former Raymond James & Associates, Inc. financial advisor James Lyons (CRD# 1020397)? Lyons has been registered with Raymond James & Associates, Inc. in Shreveport, Louisiana from 2013 to May 2017, when he was terminated regarding, … Continue reading
Former Raymond James Financial Services, Inc. broker Taek Chong (CRD# 1551473) has more than $2 million in customer complaints regarding overpayment of commissions. It is alleged that Chong engaged in defalcation, which is misappropriation of funds by a person trusted … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Pronovost (CRD# 1990612) regarding losses due to investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost … Continue reading
Erez Law is currently investigating brokers around the country who recommended their customers invest in GPB Capital Holdings. According to public records, in August 2018, GPB Capital Holdings, a seller of high-risk, high-commission private placements, ceased raising capital from investors. … Continue reading