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Erez Law is currently investigating David Lerner Associates, Inc. financial advisor Robert Spencer Cavanagh (CRD# 1494481) regarding losses to due unsuitable Puerto Rico bonds. Cavanagh has been registered with David Lerner Associates, Inc. in Syosset, New York since 1990. According … Continue reading
Erez Law is currently investigating Next Financial Group, Inc. financial advisor Dion Rey Padilla (CRD# 4432230) regarding misrepresentations regarding the sale of variable annuities. Padilla was registered with Next Financial Group, Inc. San Antonio, Texas from 2006 to 2017. FINRA … Continue reading
Erez Law is currently investigating former Foothill Securities, Inc. financial advisor Kevin Paul Hudak (CRD# 4439153) regarding use of non-authentic customer signatures for customer transactions. Hudak was registered with Foothill Securities, Inc. in Albuquerque, New Mexico from 2014 to 2015. … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. founder, majority owner, and CEO Dawn Bennett (CRD# 1567051) regarding inflating managed assets and exaggerating investment returns for customers. Bennett was registered with Western International Securities, Inc. Washington, DC from … Continue reading
In February 2017, a former Sigma Financial Corporation and Sigma Planning Corporation client won an award in a FINRA arbitration for compensatory damages in the amount of $295,000 for unsuitable sales of leveraged exchange-traded funds (ETFs) and failure to execute … Continue reading
Erez Law is currently investigating former Citizens Securities, Inc. financial advisor Adam Stuart Fritzsche (CRD# 2821218) regarding unsuitable and overconcentrated investment recommendations. Fritzsche was registered with IFS Securities in Atlanta, Georgia from October 2016 to February 2017. Previously Fritzsche was … Continue reading
Erez Law is currently investigating Dougherty & Company LLC financial advisor Michael Timothy Dolan (CRD# 1209079) regarding outside business activities. Dolan has been registered with Dougherty & Company LLC in Minneapolis, Minnesota since 1997. In December 2016, Dolan was named … Continue reading
Erez Law is currently investigating recommendations from financial advisors across the country who recommended the sale of oil and gas Master Limited Partnership investments in Memorial Production Partners LP. MLPs are limited partnerships that are publicly traded. It combines the … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Tom Gilliam Parks Jr. (CRD# 1558909) regarding unsuitable investment recommendations. Parks was registered with Stephenville, Texas from 1993 to 2016. In April 2016, Parks was terminated from employment … Continue reading
Erez Law is currently investigating Purshe Kaplan Sterling Investments financial advisor Bruce Benjamin Greenwald (CRD# 1413095) regarding unsuitable investment recommendations and misrepresentation. Greenwald has been registered with Purshe Kaplan Sterling Investments in Park City, Utah since July 2016. Previously, he … Continue reading