Can I recover losses from unsuitable investment recommendations made by former Investacorp, Inc. broker William Richardson Jr. (CRD# 721293)? William Richardson Jr. has been registered with Avantax Investment Services, Inc. in Houston, Texas since 2020. Previously, William Richardson Jr. was registered … Continue reading
Did you lose money investing in the Moody National REIT II, an illiquid non-traded real estate investment trust (REIT)? It mostly invests in securities and hotels, such as Marriott, Hyatt, and Hilton. Moody National REIT II started as a blind … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker German Nino (CRD# 2653707) regarding unauthorized trades and fraud. German Nino was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2020. In January 2022, the Securities and Exchange … Continue reading
Were you the victim of NTB Financial Corp. broker George McCaffrey III (CRD# 847377) regarding private placement investment losses? George McCaffrey III was registered with NTB Financial Corporation in Englewood, Colorado from 1989 to 2017. In June 2021, FINRA barred George … Continue reading
Former Purshe Kaplan Sterling Investments broker Tonya Smoake (CRD# 4985049) was suspended by FINRA regarding her participation in private securities transactions. Tonya Smoake was registered with Bhargava Capital in Franklin Lakes, New Jersey from 2019 to 2020. Previously, Tonya Smoake … Continue reading
Can I recover losses from investments with former JPMorgan Chase Bank, N.A. broker Robert Douglass (CRD# 4262487), who is accused of recommending unsuitable private placements? Robert Douglass has been registered with Arkadios Capital in Atlanta, Georgia since November 2021. Previously, Robert … Continue reading
Were you the victim of former LPL Financial LLC broker Scott Bremus (CRD# 4073006) who is accused of selling away? He was registered with LPL Financial LLC in Dacula, Georgia from 2016 to 2021. In October 2016, he was terminated from … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. broker Joel Kichline (CRD# 1416219), who is accused of unauthorized trading. Joel Kichline has been registered with Stifel, Nicolaus & Company, Incorporated in Frontenac, Missouri since 2020. Previously, Joel … Continue reading
Were you the victim of former Madison Avenue Securities, LLC broker Mark Elafros (CRD# 2337393) regarding unsuitable investment recommendations? Mark Elafros has been registered with Charles Schwab & Co., Inc. in Chicago, Illinois since May 2021. Previously, Mark Elafros was registered … Continue reading
Erez Law is currently investigating Triad Advisors LLC brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund, an alternative mutual fund. According to the Letter of Acceptance Waiver and Consent (AWC), in December 2021 … Continue reading