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
Erez Law is currently investigating former Summit Brokerage Services, Inc. financial advisor Larry Werbel (CRD# 828351) regarding selling away and unsuitable investment recommendations. Werbel has been registered with Concorde Investment Services, LLC in Chagrin Falls, Ohio from April 2015 to … Continue reading
In July 2018, a former client of Wells Fargo won an award in a FINRA arbitration for compensatory damages for $4,179,116, $831,583.48 in prejudgement interest, $2,693,025.41 in attorneys’ fees, $500,000.00 in punitive damages, $206,324.04 in costs, $165,718.50 in the remission … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Michael Fitz-Gerald (CRD# 209062) regarding oil and gas sector losses. Fitz-Gerald was registered with Morgan Stanley in San Francisco, California from 2009 to June 2018. According to public records, a … Continue reading
Erez Law is currently investigating former CP Capital Securities financial advisor Harold Connell (CRD# 1482623) regarding losses sustained through unregistered offerings. Connell was the CEO, president, principal supervisor and owner of CP Capital Securities in Miami, Florida from 2001 to … Continue reading
There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008. Curtis has been the subject of … Continue reading
There are options for customers of former D.H. Hill Securities, LLLP broker Charles Stevens (CRD# 1698058) who suffered investment losses. Stevens was registered with D.H. Hill Securities, LLLP in St. Augustine, Florida from 2006 to 2020. In December 2020, FINRA … Continue reading
Did former Nylife Securities LLC financial advisor Joel Flaningan (CRD# 5664958) recommend you invest in the Woodbridge Group of Companies? Flaningan was registered with Nylife Securities LLC in Fort Wayne, Indiana from 2010 to May 2018 when he was terminated … Continue reading
There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001. Walk has been … Continue reading
In July 2018, the Securities and Exchange Commission (SEC) charged two real estate investment (REIT) funds, which are among those in Texas-based United Development Funding (UDF), and four executives and ordered them to pay $8.2 million in fines and payments … Continue reading