In November 2017, a former client of Royal Alliance Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $186,538, as well as $28,925.00 in costs, and $65,288 in attorneys’ fees for losses sustained from a predominantly … Continue reading
Erez Law is currently investigating former G.F. Investment Services, LLC financial advisor Daniel Hushek III (CRD# 4250117) regarding losses sustained from non-traditional exchange traded funds (ETFs). Hushek has been registered with G.F. Investment Services, LLC in Sarasota, Florida from 2005 … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients invest in Peabody Energy Corp. Over the past few years, oil prices have significantly declined. A supply glut in 2014 and 2015 led to some of … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor David White (CRD# 1382131) regarding unsuitable investments. White has been registered with Centaurus Financial, Inc. in Bloomfield Hills, Michigan since 2005. White has been the subject of 12 customer complaints … Continue reading
Erez Law is currently investigating former Forefront Capital Markets LLC financial advisor Demitrios Hallas (CRD# 4199832) regarding excessive trading and churning in customer accounts. Hallas was registered with the following brokerage firms, to name just a few: PHX Financial, Inc. … 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 is currently investigating First Standard Financial Company LLC financial advisor William Gennity (CRD# 4913490) regarding excessive and unauthorized trading, use of discretion in customer accounts, unsuitable recommendations and other securities violations. Gennity has been registered with First Standard … Continue reading
Erez Law is currently investigating Hennion & Walsh, Inc. financial advisor Joseph Rodriguez (CRD# 3093506) regarding losses sustained from investments in unsuitable Puerto Rico bonds. Rodriguez has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1998. … Continue reading
Erez Law is currently investigating former Park Avenue Securities financial advisor Lizabeth Gotuaco Ty (Beth Ty) (CRD# 4737319) regarding the sale of unregistered securities and an alleged $114 million Ponzi Scheme. Ty was registered with Park Avenue Securities in Houston, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Ronald Broadstone (CRD# 1043159) regarding unauthorized trading in customer accounts. Broadstone was registered with UBS Financial Services Inc. in New Albany, Ohio from 2007 to April 2017, when … Continue reading