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Did you lose money investing with Raymond James Financial Services, Inc. financial advisor George Puliafico (CRD# 1158596)? Puliafico has been registered with Raymond James Financial Services, Inc. in Walpole, Massachusetts since 1999. According to his CRD, Puliafico allegedly sold Master … Continue reading
Erez Law is currently investigating Century Securities Associates, Inc. financial advisor Bernard McLaughlin Jr. (CRD# 601178) regarding negligence and breach of fiduciary duty related to energy investments. Mclaughlin has been registered with Century Securities Associates, Inc. in Chaska, Minnesota since … Continue reading
In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and … Continue reading
Were you the victim of former Independent Financial Group, LLC financial advisor Kyusun Kim (CRD# 2864085) who is alleged to make unsuitable investment recommendations to senior customers? Kim was registered with Sandlapper Securities, LLC in San Diego, California from 2016 … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Dennis Hayes (CRD# 4403550) regarding selling away and private securities transactions. Hayes was registered with Salomon Whitney Financial in Melville, New York for two days from April 25-27, 2017. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Transamerica Financial Advisors, Inc. financial advisor Robert Perta (CRD# 1688568) regarding investment fraud. Perta was registered with Transamerica Financial Advisors, Inc. in … Continue reading
Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Daniel Morris (CRD# 1046760) regarding unauthorized and unsuitable trades. Morris has been registered with Westport Capital Markets, LLC in Westport, Connecticut since December 2016. Previously, Morris was registered with … Continue reading
In May 2018, a former client of UBS Financial Services Inc. and UBS Financial Services Inc. of Puerto Rico won an award in a FINRA arbitration for compensatory damages for $465,000, plus $23,000 in witness fees, $120,900 in attorney fees, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Sisk Investment Services, Inc. financial advisor Matthew Eckstein (CRD# 2997245) regarding undocumented investments. Eckstein was with Sisk Investment Services, Inc. in Syosset, … Continue reading
Were you the victim of former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) who is alleged to engage in unauthorized trades in customer accounts? Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 … Continue reading