Former MML Investors Services, LLC broker Oscar Francis (CRD# 5094722) is alleged to recommend unsuitable investments in GPB Capital Holdings. Francis was registered with MML Investors Services, LLC in Ft Lauderdale, Florida from 2008 to 2017, when he was terminated … Continue reading
In June 2019, a former client of PFS Investments Inc. won an award in a FINRA arbitration for compensatory damages for $850,630 for losses sustained from unauthorized and unapproved transactions. The investors were clients of financial advisors Perry De Leeuw … Continue reading
Were you the victim of former Edi Financial, Inc. broker William Thurmond (CRD# 870133)? Thurmond was registered with Alexander Capital, L.P. in New York, New York from December 2016 to May 2017. Previously, Thurmond was registered with Edi Financial, Inc. … Continue reading
Erez Law is currently investigating First Standard Financial Company LLC broker Joseph Orlando Jr. (CRD# 2882204) regarding investment losses due to unauthorized trading. Orlando has been registered with First Standard Financial Company LLC in Red Bank, New Jersey since 2016. … Continue reading
In June 2019, a former client of Cadaret, Grant & Co., Inc. won an award in a FINRA arbitration for compensatory damages for $1,462,000, plus 9% per annum, for losses sustained from investments with broker Steven Pagartanis (CRD# 1958879). The … Continue reading
Barred broker Rand Heckler (CRD# 2689235) is accused of recommending unsuitable investments to clients, resulting in losses. Heckler was registered with Benjamin & Jerold Brokerage I, LLC in Glen Cove, New York from 2014 to 2019. Previously, Heckler was registered … Continue reading
Did Next Financial Group, Inc. broker Charles Doraine (CRD# 70411) recommend you unsuitable Puerto Rico bonds? Doraine has been registered with Next Financial Group, Inc. in Corpus Christi, Texas since 2007. Puerto Rico suffers from long-term financial and economic deficiencies … Continue reading
Erez Law is currently investigating former president and chief compliance officer of Gould, Ambroson & Associates Ltd. Jay Ambroson (CRD# 859012). Ambroson was registered with Gould, Ambroson & Associates Ltd. in Garden City, New York from 1986 to 2018. Ambroson … Continue reading
Former Lincoln Financial Securities Corporation broker Barry Horowitz (CRD# 2651525) faces allegations of client damages in excess of $2.4 million related to promissory note losses. Horowitz was registered with Lincoln Financial Securities Corporation in Glastonbury, Connecticut from 1995 to August … Continue reading
Did your broker recommend you over-concentrate your investment portfolio in NorthStar Healthcare Income REIT? Erez Law is currently investigating brokers across the country who recommend their clients invest in NorthStar Healthcare Income Real Estate Investment Trust (REIT), a public, non-traded … Continue reading