In December 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for $4.2 million for negligent supervision related to investment losses with barred broker Aaron Parthemer (CRD# 2546369). The FINRA arbitration panel found Morgan Stanley … Continue reading
Were you the victim of former RBC Capital Markets financial advisor Terry Rider (CRD# 2724817)? Rider was registered with Wells Fargo Clearing Services, LLC in Houston, Texas from April 20-25, 2017 and previously with RBC Capital Markets, LLC in Sugar … Continue reading
Erez Law is currently investigating former HD Vest Investment Services financial advisor Thomas Laws (CRD# 4494448) regarding losses associated with Santa Fe Gold Corporation. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Steve Reznick (CRD# 1067199) regarding investment losses due to sales practice violations. Reznick has been registered with Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to … Continue reading
Erez Law is currently investigating David Lerner Associates, Inc. financial advisors who recommended their clients invest in unsuitable Puerto Rico bonds. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. The deterioration of Puerto … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker John Grillo (CRD# 2643787) regarding mutual fund losses. Grillo has been registered with Cambridge Investment Research, Inc. in Carrollton, Georgia since 2008. Grillo has been the subject of two customer … Continue reading
Have you been the victim of former Questar Capital Corporation financial advisor Jerry Michna (CRD# 2711435)? Michna has been registered with Cetera Advisor Networks LLC in Louisville, Ohio since August 2017. Previously, Michna was registered with Questar Capital Corporation in … Continue reading
There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011. Ebrahimi has been the … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Thomas Kelly (CRD# 2877415) regarding unsuitable investment recommendations. Kelly has been registered with Aegis Capital Corp. in New York, New York since May 2018. Previously, Kelly was registered with National … Continue reading
There are options for customers of Merrill Lynch financial advisor Jarett Liddicoat (CRD# 4853499) regarding investment losses. Liddicoat has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Roseville, California since 2004. Liddicoat has been the subject of … Continue reading