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Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 68-year-old widow, her 102-year-old mother, and her 59-year-old disabled sister-in-law. Aldarondo … Continue reading
Erez Law is investigating claims regarding Ann Maria Ferrao (CRD #4481123, Miami, Florida). Ferrao recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See … Continue reading
Erez Law is investigating claims regarding Richard Andrew Christensen Jr.(CRD #875932, St. Charles, Missouri). Christensen recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member … Continue reading
Erez Law is investigating claims regarding Michael John Wurdinger (CRD #4926912, St. Louis, Missouri), also known as Mike Wurdinger. Wurdinger recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was suspended from association with any … Continue reading
Erez Law is investigating claims regarding Paul Gerard Chiampa (CRD #1133609, East Longmeadow, Massachusetts). Chiampa recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $7,500 and suspended from association with any FINRA member … Continue reading
The Securities and Exchange Commission recently approved the implementation of FINRA Rule 2081, which prohibits brokers from making settlements of customer disputes contingent on the claimant’s agreement not to oppose expungement of the dispute from the brokers’ public record. Once … Continue reading
The Securities and Exchange Commission recently charged three Morgan Stanley entities with misleading investors in a two residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. In anticipation of the charges, Morgan Stanley submitted an offer of … Continue reading
Erez Law is investigating claims regarding Richard Ohlhaber (CRD #2154794). Ohlhaber accepted FINRA’s Offer of Settlement, in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2012032077901.Ohlhaber was registered with Century Securities Associates, … Continue reading
Erez Law is investigating claims regarding Florlena Cortez (CRD #4339441, Brownsville, Texas). Cortez submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2012031460902. Cortez … Continue reading
In a recent speech, Daniel Gallagher, a member of the Securities and Exchange Commission stated that a large number investment advisers may be violating securities law and committing other misconduct without consequence because the Securities and Exchange Commission does not … Continue reading