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
Former Center Street Securities, Inc. broker Satya Shaw (CRD# 1229175) is alleged to make unsuitable investment recommendations. Satya Shaw was registered with Center Street Securities, Inc. in Wesley Chapel, Florida from 2010 to 2016. In July 2019, the Florida Office of … Continue reading
Erez Law is currently investigating Texas broker Stephen Hoshimi (CRD# 1977772) regarding engaging in outside business activities, which is also known as selling away. Since 2009, Hoshimi has received 37 customer complaints that were settled for a total of more … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Financial West Group broker Daniel Maughan (CRD# 2561363). Maughan was registered with Financial West Group in Los Angeles, California from 2010 to … Continue reading
Erez Law is currently investigating brokers at brokerage firms across the country who recommended their clients invest in Steepeners. Steepeners are a type of structured product. Structured products are complex securities derived from or based on a single security or … Continue reading
Erez Law recently filed a statement of claim against Morgan Stanley. The customer alleges that Jaime Sahlstrom (CRD #4722007), a former broker at Morgan Stanley, recommended a speculative and unsuitable investment strategy of investing the client’s accounts in high risk … Continue reading
Were you the victim of Worden Capital Management LLC broker Michael Stanton (CRD# 1448072)? Stanton has been registered with Worden Capital Management LLC in New York, New York since December 2016. He was previously registered with Legend Securities, Inc. in … Continue reading
In July 2019, a former client of UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico won an award in a FINRA arbitration for compensatory damages for $4,813,161 plus $67,969.40 in costs and a $750 non-refundable portion … Continue reading