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Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor Harold Lauber (CRD# 811265) regarding energy sector losses. Lauber has been registered with Herbert J. Sims & Co. Inc. in Naples, Florida since July 2015. Previously, he was … Continue reading
Erez Law is currently investigating former Fulcrum Securities, LLC financial advisor Athanasios Tomaras (CRD# 2722538) regarding unsuitable recommendations in oil and gas investments. Tomaras has been registered with R. F. Lafferty & Co., Inc. in Oldsmar, Florida since 2015. Previously, … Continue reading
Erez Law is currently investigating former Primary Capital, LLC financial advisor Christopher Cervino (CRD# 2778817) regarding securities and investment fraud. Cervino was registered with the following firms during the past few years: Primary Capital, LLC in New York, New York … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Christopher Sinkula (CRD# 2001512) regarding overconcentration of investments in the high risk energy sector. Sinkula has been registered with Janney Montgomery Scott LLC in Stuart, Florida since 2008. Sinkula … Continue reading
Erez Law is currently investigating former Radnor Research & Trading Company LLC financial advisor William Scholander (CRD# 2938044) regarding a fraudulent stock scheme. Scholander was registered with Radnor Research & Trading Company LLC in New York, New York from 2011 … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Ramesh Madhusudan (CRD# 5389923) regarding unsuitability, breach of fiduciary duty and churning in customer accounts, among other securities violations. Madhusudan has been registered with Raymond James Financial Services, … Continue reading
Erez Law is currently investigating Newbridge Securities Corp. (CRD# 104065) financial advisors across the country. The Boca Raton-based firm has 28 prior regulatory events on their CRD report. In July 2017, Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department … Continue reading
Erez Law continues to investigate former Morgan Stanley financial advisor Edward Barger (CRD# 1360282) regarding a reckless and unsuitable concentration in speculative energy sector investments (see previous post on Barger from February 2017 here). Barger was registered with Morgan Stanley … Continue reading
Erez Law is currently investigating H. Beck, Inc. financial advisor James Dresselaers (CRD# 1106109) regarding his recommendations to invest in unsuitable exchange-traded funds (ETFs). Dresselaers has been registered with H. Beck, Inc. in Bethesda, Maryland since 2003. In October 2017, … Continue reading
Erez Law is currently investigating Morgan Stanley Smith Barney LLC financial advisors across the country regarding short-term trades of unit investment trusts (UITs). According to the FINRA news release, the regulatory agency fined Morgan Stanley $3.25 million and required the … Continue reading