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
In May 2020, FINRA censured Western International Securities and fined the firm $325,000 related to its compliance procedures. Western International Securities also agreed to hire an independent consultant to review its compliance efforts and recommend changes that the broker-dealer should … Continue reading
There are options for customers of former Laidlaw & Company broker Kevin Wilson (CRD# 3262701) who suffered investment losses. Wilson has been registered with Worden Capital Management LLC in New York, New York since November 2019. Previously, Wilson was registered … Continue reading
Erez Law recently filed a lawsuit against Jay Jackler, a registered certified public accountant (CPA), who is alleged to recommend his former client invest in the Castleberry Silver Alternative Investment Fund. The allegations in the complaint filed in Palm Beach … Continue reading
Stifel, Nicolaus & Company, Incorporated broker John Russell (CRD# 728702) faces a customer complaint about investment losses. Russell has been registered with Stifel, Nicolaus & Company, Incorporated in Clayton, Missouri since 1988. Russell has been the subject of three customer … Continue reading
In May 2019, a former client of Royal Alliance Associates, Inc. filed a $1 million FINRA arbitration against the firm on behalf of a former client who allegedly lost money investing in GPB Capital Holdings, according to public records. The … Continue reading
Cambridge Investment Research, Inc. broker John Pronovost (CRD# 1990612) is accused of recommending unsuitable investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost sold you the LJM Funds … Continue reading
In July 2019, it was reported that one of GPB Capital Holdings’ David Rosenberg, a former business partner and chief executive of Prime Automotive Group, filed a case against the firm, alleging serious financial misconduct. The report alleged that GPB … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Jerry McCutchen, Sr. (CRD# 1076678) regarding real estate investment trust (REIT) losses. McCutchen was registered with Berthel, Fisher & Company Financial Services, Inc. in Mobile, Alabama from … Continue reading