Aegis Capital Corp. financial advisor Paul Falcon (CRD# 2464566) faces $1 million customer complaint for investment losses. Falcon has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2013. Falcon has been the subject of six customer complaints … Continue reading
Are you a UPS employee who lost money investing with a Merrill Lynch broker? According to public records, a former Merrill Lynch customer and former employee of UPS filed a FINRA arbitration claim against the broker dealer for losses sustained … Continue reading
In March 2019, a former client of Capital & Security Management Inc. won an award in a FINRA arbitration for compensatory damages for $326,000 plus 5% per annum until the award is paid in full. The customer complaint originally alleged … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisors across the country who recommended their clients invest in UBS structured notes or GOAL Yield products. Structured products are complex securities derived from or based on a single security … Continue reading
In March 2019, a former client of Money Concepts Capital Corp. won an award in a FINRA arbitration for compensatory damages for $698,979, plus 8% per annum until the award is paid in full, and $27,920 in costs and 244,642 … Continue reading
Former Sagepoint Financial, Inc. financial advisor Christopher Dougherty (CRD# 2974523) was charged by the Securities and Exchange Commission (SEC) with running a $7 million Ponzi scheme. Dougherty was registered with Sagepoint Financial, Inc. in San Diego, California from 2005 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Cambria Capital, LLC financial advisor Jarek Hansen (CRD# 6147219). Hansen has been registered with Cambria Capital, LLC in Salt Lake City, Utah since … Continue reading
Did UBS Financial Services Inc. financial advisor Scott Rosenberg (CRD# 2754292) recommend you unsuitable YES strategy investments? Rosenberg has been registered with UBS Financial Services Inc. in New York, New York since 2015. The YES strategy was marketed as an … Continue reading
Erez Law is currently investigating FSC Securities Corp. brokers Allen McKell (CRD# 2494700) and Ryan McKell (CRD# 5386486) regarding investment losses. Allen McKell was registered with FSC Securities Corp. in Valencia, California from 2013 to 2017. Ryan McKell has been … Continue reading
Did your broker recommend you invest in Harvest Volatility Management’s Collateral Yield Enhancement Strategy (CYES) investments and not adequately disclose the risk associated with this investment? Brokers across the country who work at large brokerage firms including JP Morgan, Fidelity, … Continue reading