Erez Law is currently investigating former National Planning Corporation broker William Glaser (CRD# 1274847) regarding selling away. Glaser was registered with National Planning Corporation in St. Albans Rd, Missouri from 2007 to 2017, when he was terminated regarding, “The firm … Continue reading
Erez Law is currently investigating former UBS Financial Services, Inc. financial advisor Erik Littlejohn (CRD# 1910841) regarding energy sector losses. Littlejohn has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas since 2015. Previously, he was … Continue reading
Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Jack Griffith Jr. (CRD# 1446978) regarding energy sector losses. Griffith has been registered with Janney Montgomery Scott LLC in Columbia, South Carolina since 2014. Previously, he was registered with … Continue reading
Erez Law recently filed a FINRA arbitration against David Lerner Associates. The Erez Law clients allege that David Portnoy (CRD #705396) and Scott Ente (CRD #2612038), who were registered representatives of David Lerner Associates, recommended the customers (a retired married … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Chad Hornaday (CRD# 2776038) regarding selling away. Hornaday was registered with Axa Advisors, LLC in Carlsbad, California from 2013 to 2016, when he was terminated regarding, “RR was permitted … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Alex Gierbolini (CRD# 2894231) regarding unsuitable recommendations in Puerto Rico bonds and closed-end funds. Gierbolini has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Erez Law is currently investigating Cabot Lodge Securities LLC financial advisor Robert Tweed (CRD# 2339324) regarding fraud charges related to an investment fund, Athenian Fund, L.P. Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since … Continue reading
Erez Law is currently investigating former Dawson James Securities, Inc. financial advisor Pranav Patel (CRD# 5391213) regarding a cash kickback scheme regarding recommendations in the penny stock ForceField Energy, Inc. ForceField Energy was a worldwide distributor and provider of LED … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Brian Berger (CRD# 3208127) regarding a fraudulent scheme that involved wire fraud and misappropriating elderly customers’ funds. Berger was registered with Newbridge Securities Corporation in Boca Raton, Florida from … Continue reading