Were you the victim of former Morgan Stanley broker Mark Frommer (CRD# 1553129) regarding unsuitable and unauthorized trades? He has been registered with Oppenheimer & Co. Inc. in Chicago, Illinois since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
In June 2022, a former client of UBS Financial Services Inc. won an award in a FINRA arbitration for compensatory damages for $975,606 for losses sustained due to brokers who misled clients who didn’t understand the risky UBS Yield Enhancement … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker William Chancellor (CRD# 1277838) regarding real estate losses due to investment fraud. He was registered with First Allied Securities, Inc. in Ridgeland, Mississippi from 2012 to 2017. In May … Continue reading
Were you the victim of Morgan Stanley broker Timothy Jennings (CRD# 4553681) who is accused of investment fraud? He has been registered with Morgan Stanley in Ithaca, New York since 2019. Previously, Morgan Stanley in Binghamton, New York from 2014 … Continue reading
Were you the victim of LPL Financial LLC broker Brad Hensen (CRD# 5136446) regarding unsuitable investment recommendations? He has been registered with LPL Financial LLC in Salem, Ohio since 2010. Brad Hensen Customer Complaints He has been the subject of … Continue reading
In June 2022, the United States Department of Justice arrested Neil Chandran and charged him with an alleged investment fraud scheme that defrauded investors of more than $45 million. He was charged with three counts of wire fraud as well … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Xinxin Lu (Stella Lu) (CRD# 6270026) regarding the now defunct Beechwood Bermuda investment losses (fka PB Life and Old Mutual), which is an annuity product offered by Northstar Financial … Continue reading
There are options for customers of former Verity Asset Management broker Carlos Ingram (CRD# 4342081) who lost money due to unsuitable transactions. He has been registered with Silver Oak Securities, Incorporated in Atlanta, Georgia since 2020. Previously, he was registered … Continue reading
Erez Law is currently investigating National Securities Corporation broker Jay Sheth (CRD# 4656009) regarding private placement investment losses. He has been registered with National Securities Corporation in New York, New York since 2004. In April 2022, FINRA sanctioned him to … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Patrick Cavanagh (CRD# 5186630) regarding unsuitable investment recommendations. He was registered with Spartan Capital Securities, LLC in New York, New York from 2019 to 2022. Previously, he was registered … Continue reading