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Former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) is alleged to engage in unauthorized trades and over concentrate customer accounts. Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 to 2015. Previously, he … Continue reading
There are options for customers of Geneos Wealth Management, Inc. financial advisor Bradley Tennison (CRD# 1561988) who is alleged to engage in selling an investment away from his firm. Tennison was registered with Geneos Wealth Management, Inc. in Mesa, Arizona … Continue reading
Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was … Continue reading
Erez Law is currently investigating Rhodes Securities owner and chairman Jim Gordon Rhodes (CRD# 813870), CEO J. Gordon Rhodes (CRD# 4763582) and president and COO Marilyn Zehntner (CRD# 2645697) regarding breach of fiduciary duty, negligence, and breach of contract. Rhodes … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Michael Arteca (CRD# 4550695) regarding investment losses due to real estate investment trusts (REITs). Arteca has been registered with Pruco Securities, LLC in Uniondale, New York since September 2017. … Continue reading
There are options for customers former Oppenheimer & Co. Inc. financial advisor Paul Dangelo (CRD# 1837472) who is alleged to recommend unsuitable Puerto Rico bonds that resulted in investment losses. Dangelo was registered with Oppenheimer & Co. Inc. in Saddle … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
Former Kovack Securities Inc. financial advisor Andrew Corbman (CRD# 2513558) regarding accused of recommending unsuitable penny stocks. Corbman was registered with Newbridge Securities Corporation in Lansdowne, Virginia from November 2015 to March 2016 and with Kovack Securities Inc. in Lansdowne, … Continue reading
Erez Law is currently investigating Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. The FIPs were formerly known as Pensions, Annuities & Settlements, LLC. FIPs are investments that are primarily sold as … Continue reading
Former Stifel, Nicolaus & Company, Incorporated financial advisor Mitchell Yanow (CRD# 2148171) barred by FINRA for stealing more than $200,000 from an elderly client. Yanow has been registered with Stifel, Nicolaus & Company, Incorporated in Boca Raton, Florida from 2015 … Continue reading