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In January 2018, FINRA awarded a group of 17 investors $4.3 million, alleging that former First Allied Securities Inc. financial advisor Anthony Diaz (CRD# 4131948) put their retirement savings into risky, unsuitable investments. Diaz and First Allied Securities Inc. must … Continue reading
Warning former customers and former customers of Morgan Stanley financial advisors James Polese (CRD# 2636427) and Cornelius Peterson (CRD# 5769919), who are alleged to defraud multiple clients by stealing nearly half a million dollars of client assets. Polese and Peterson … Continue reading
Erez Law is currently investigating former INVEST Financial Corporation financial advisor Roger Kroeger (CRD# 1526864) regarding embezzlement and money laundering in an elderly client’s account. Kroeger was registered with INVEST Financial Corporation in Ft. Lauderdale, Florida from 1990 to 2017, … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC financial advisor Ahmed Gheith (CRD# 5783951) regarding fraud, negligent misrepresentations, negligence, and unjust enrichment. Gheith was registered with the following brokerage firms during the past few years: Paulson Investment Company … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Jeffrey Wilson (CRD# 1161819) regarding unsuitable energy investments. Wilson has been registered with Wells Fargo in Las Cruces, New Mexico since 2014. Over the past few years, oil prices have significantly … Continue reading
Erez Law is currently representing more than 100 investors in Puerto Rico and the mainland U.S. in claims against brokerage firms for losses in Puerto Rico bonds and is ongoing in its investigation of brokerage firms across the United States … Continue reading
Erez Law is currently investigating former UBS Financial Services financial advisor Gerardo Barrera Jr. (CRD# 856204) regarding losses sustained from investments in Puerto Rico bonds. Barrera was registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. financial advisor James Edward Lyons (Eddie Lyons) (CRD# 1020397) regarding unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs). Lyons was registered with Raymond James & … Continue reading
Erez Law recently filed a $573,000 FINRA arbitration against RBC Capital Markets, LLC. Their former customers allege that Robert Tansey (CRD# 1222751), who has been a registered representative of RBC Capital Markets, LLC in New York, New York since 2002, … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Incorporated financial advisor Coleman Devlin (CRD# 2317635) regarding discretionary trades in customer accounts, among other securities violations. Devlin was registered with IFS Securities in Atlanta, Georgia from July 2016 to … Continue reading