Former Craig Scott Capital, LLC financial advisor Edward Beyn (CRD# 5406273) was barred by FINRA for churning and excessive trading in customer accounts. Beyn was registered with Rothschild Lieberman LLC in Syosset, New York from 2015 to 2016 and previously … Continue reading
Erez Law is currently investigating Wells Fargo broker Bryan Benson (CRD# 807506) regarding unsuitable investments. Benson has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2007. In April 2020, Benson was barred by FINRA after he … Continue reading
Dawson James Securities, Inc. broker Robert Armstrong PhD (CRD# 5236735) is accused of unsuitable investment recommendations resulting in losses. Armstrong has been registered with Dawson James Securities, Inc. in Boca Raton, Florida since 2012. Armstrong has been the subject of … Continue reading
Former First Standard Financial Company LLC broker James Schwartz (CRD# 3043085), who was barred by FINRA, faces customer complaints regarding suitability. Schwartz was registered with Joseph Gunnar & Co. LLC in New York, New York from December 2016 to February … Continue reading
Former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) accused of excessive trading related to Closed End Funds (CEFs). Mewhinney has been registered with Morgan Stanley in Dallas, Texas from 2009 to August 2018. Mewhinney has been the subject … Continue reading
In April 2019, the Securities and Exchange Commission (SEC) charged the Woodbridge Group of Companies execs with criminal fraud. Woodbridge Group of Companies former owner and CEO Robert Shapiro, as well as directors Ivan Acevedo and Dane Roseman were arrested … Continue reading
Financial advisors across the country from more than 80 brokerage firms are alleged to recommend unsuitable investments in GPB Capital Holdings. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high … Continue reading
In June 2020, Securities America, Inc. was fined $1.75 million by the Securities and Exchange Commission (SEC) for allegedly failing to safeguard clients from Hector May (CRD# 323779), who pleaded guilty in 2018 to stealing $8 million from clients. According … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients invest in stocks of Uniti Group Inc. It is alleged that brokers from Raymond James and other brokerage firms across the country recommended their clients invest … Continue reading
Did your financial advisor recommend you invest in the UBS Yield Enhancement Strategy (YES strategy) and not adequately disclose the risk associated with this investment? It is alleged that brokers across the country who work at large brokerage firms including … Continue reading