Erez Law is currently investigating former Feltl & Company financial advisor Lance Ziesemer (CRD# 2342087) regarding unsuitable recommendations regarding unit investment trusts (UITs). Ziesemer was registered with Feltl & Company in Wayzata, Minnesota from 2007 to 2016. In September 2016, … Continue reading
Erez Law is currently investigating former Oneamerica Securities, Inc. financial advisor Patrick Howard (CRD# 5153247) regarding a fraudulent offering of investments in private funds. Howard was registered with Oneamerica Securities, Inc. in Dallas, Texas from 2010 to 2015 before he … Continue reading
Erez Law is currently investigating Revere Securities LLC financial advisor Brett Murphy (CRD# 2434384) regarding excessive and unsuitable trading of unit investment trusts (UITs). Murphy has been registered with Revere Securities LLC in Boca Raton, Florida since 2015. Previously, he … Continue reading
Erez Law is currently investigating former Credit Suisse Securities LLC financial advisor Joel Kassewitz (CRD# 1292709) regarding unsuitable investments. Kassewitz was registered with Wells Fargo Advisors, LLC in Coral Gables, Florida from January to May 2016. Previously, he was registered … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor David Fagenson (CRD# 1652012) regarding unsuitable and unauthorized trades. Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Matthew Bell (CRD# 3091864) regarding unsuitable recommendations and misrepresentations related to a pump-and-dump scheme involved a medical education company and two other microcap stocks. Bell was registered with Securities … Continue reading
Erez Law is currently investigating former First Financial Equity Corporation financial advisor Robert Kerrigan Sr. (CRD# 268516) regarding participating in outside business activities. Kerrigan has been registered with First Financial Equity Corporation in Scottsdale, Arizona from 2008 to 2015. In … Continue reading
Erez Law is currently investigating former Capitol Securities Management, Inc. financial advisor Troy Baldridge (CRD# 2976766) regarding check fraud and stealing from customers. Baldridge was registered with Capitol Securities Management, Inc. in Glen Allen, Virginia from 2007 to 2016, before … Continue reading
Erez Law is currently investigating former Harbor Light Securities, LLC financial advisor Christopher Goslin (CRD# 1720162) regarding outside business activities. Goslin was registered with Harbor Light Securities, LLC in Tampa, Florida from 2012 to 2016. Previously, he was registered with … Continue reading
Erez Law is currently investigating former Caldwell International Securities financial advisor Alex Etter (CRD# 2981742) regarding unsuitable recommendations of an active trading investment strategy to his customers. Etter was registered with Caldwell International Securities in Englewood Cliffs, New Jersey from … Continue reading