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Sagepoint Financial, Inc. broker Christopher Bice (CRD# 3222439) is accused of unsuitable investment recommendations. Bice has been registered with Sagepoint Financial, Inc. in Greensboro, Mooresville, and Salisbury, North Carolina since 2005. Bice was registered with three prior firms between 1999 … Continue reading
In October 2019, Robert Shapiro, the former CEO of Woodbridge Group of Companies, was sentenced to 25 years in prison. In August 2019, Shapiro pled guilty to tax evasion and running a $1.3 billion fraud that caused more than 9,000 … Continue reading
Raymond James Financial Services, Inc. broker Steve Reznick (CRD# 1067199) is accused of recommending a speculative investment strategy. Reznick has been registered with Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to 2018. According to public records, Reznick … Continue reading
Erez Law is currently investigating former Taylor Capital Management Inc. broker James Heafner (CRD# 4837072) regarding investment losses due to unsuitable investment recommendations. Heafner has been registered with Taylor Capital Management Inc. in Charlotte, North Carolina from 2011 to 2018, … Continue reading
Erez Law recently filed a FINRA arbitration against Axa Advisors, LLC for losses due to unsuitable investments in Corporate Capital Trust, Inc. and Northstar Real Estate Income Trust II. The customers were clients of Andrew Krakauer (CRD #1613159), who has … Continue reading
Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, … Continue reading
Were you the victim of Independent Financial Group, LLC broker Shimshon Plotkin (CRD# 2431863)? Plotkin has been registered with Independent Financial Group, LLC in Chevy Chase, Maryland since 2011. Plotkin has been the subject of eight customer complaints between 2001 … Continue reading
Did you suffer investment losses due to recommendations by former Newbridge Securities Corporation broker Craig Sherrer (CRD# 5972142)? Sherrer has been registered with Janney Montgomery Scott LLC in Garden City, New York since April 2018. Previously, Sherrer was registered with … Continue reading
Were you the victim of Independent Financial Group, LLC broker Lyle Boudreaux (CRD# 4303420)? Boudreaux has been registered with Independent Financial Group, LLC in Houston, Texas since 2012. Boudreaux was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Eric Weschke (CRD# 2486324) regarding GPB Capital Holdings losses. Weschke has been registered with Kalos Capital, Inc. in Setauket, New York since 2011. GPB Capital Holdings is a New York-based investment … Continue reading