Erez Law is currently investigating Concorde Investment Services, LLC broker Robert Smith (CRD# 1412333) regarding GPB Capital Holdings investment losses. Smith has been registered with Concorde Investment Services, LLC in Lake Oswego, Oregon since 2011. According to public records, Smith … Continue reading
Were you the victim of former UBS Financial Services Inc. broker David Fagenson (CRD# 1652012)? Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered with UBS Financial Services Inc. in … Continue reading
Former IMS Securities, Inc. broker Jackie Wadsworth (CRD# 2342163) barred by FINRA loses case against former customer for negligent supervision and high-risk, illiquid investment losses. Wadsworth has been registered with IMS Securities, Inc. in Houston, Texas since 1994. In November … Continue reading
Were you the victim of excessive trading with former Laidlaw & Company (UK) Ltd. broker Peter Viglione (CRD# 4697621)? Viglione has been registered with Network 1 Financial Securities Inc. in New York, New York since June 2019. Previously, Viglione was … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Scott Donato (CRD# 2336331) regarding options losses. Donato was registered with Morgan Stanley in Miami, Florida from 2009 to 2017. In March 2019, FINRA barred Donato after he failed to respond … Continue reading
Former Raymond James & Associates, Inc. broker James Edward Lyons (Eddie Lyons) (CRD# 1020397) is accused of unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs) linked to the high-risk energy sector. Lyons was registered with Raymond … Continue reading
Former National Securities Corporation broker Michael Fasciglione (CRD# 1806486) is accused of recommending unsuitable GPB Capital Holdings investments. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk … Continue reading
National Securities Corporation broker Craig Bonn (CRD# 2280460) is accused of unsuitability and excessive trading (churning). Bonn has been registered with National Securities Corporation in New York, New York since 2016. Churning is when a broker conducts excessive trading in … Continue reading
Raymond James & Associates, Inc. broker Maria Hendershot (CRD# 818681) is accused of sector concentration leading to investor losses. Hendershot has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2006. Raymond James & Associates, Inc. has … Continue reading
Erez Law recently filed a FINRA arbitration against Raymond James Financial Services on behalf of investors who suffered investment losses due to recommendations from their broker Steven Reznik (CRD #1067199). Reznik was a registered representative of Raymond James Financial Services, … Continue reading