Erez Law is currently investigating former Bolton Global Capital financial advisor Paul Smith (CRD# 1070735) regarding The Haverford Group, a partnership that Smith formed to serve as a pooled investment vehicle that operated in a Ponzi-like manner. Smith was registered … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. financial advisor Mark Perry (CRD# 1219294) regarding unsuitable investment recommendations to elderly clients. Perry was registered with Independent Financial Group, LLC in Mt. Pleasant, South Carolina from April to September … Continue reading
Erez Law is currently investigating First Financial Equity Corporation financial advisor Joseph Yanofsky (CRD# 870054) regarding discretionary trading, unauthorized trading, excessive trading and unsuitable investments. Yanofsky has been registered with First Financial Equity Corporation in Greenwood Village, Colorado since 2015. … Continue reading
Erez Law is currently investigating Citigroup Global Markets Inc. financial advisors across the country following a FINRA sanction for displaying inaccurate research ratings. In December 2017, FINRA fined Citigroup Global Markets Inc. $5.5 million and required the firm to pay … Continue reading
Erez Law is currently investigating Raymond James & Associates 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 … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffmann (CRD# 4008798) regarding unsuitable recommendations. He was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to May 2017, and previously with … Continue reading
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