Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Stephen Mosley (CRD# 4900781) regarding participating in outside business activities not vetted by his member firm. Mosley was registered with Ameriprise Financial Services, Inc. in Lake Havasu, Arizona … Continue reading
Erez Law is currently investigating former FSC Securities Corporation financial advisor Tim Cannady (CRD# 5267061) regarding bank fraud and a fraudulent investment fund. Cannady was registered with Roosevelt Equity Corporation in Charlotte, North Carolina from May to November 2011. Previously, … Continue reading
Erez Law is currently investigating former Metlife Securities Inc. financial advisor James Kolf (CRD# 1015682) regarding unsuitable investment recommendations. Kolf was registered with NYLIFE Securities LLC in Madison, Wisconsin from May to August 2016. Previously, he was registered with Metlife … Continue reading
Erez Law is currently investigating former Jefferies & Company, Inc. financial advisor Jesse Litvak (CRD# 2921134) regarding securities fraud violations. Litvak was registered with and acted as managing director of Jefferies & Company, Inc. in Stamford, Connecticut from 2008 to … Continue reading
Erez Law is currently investigating former Princor Financial Services Corporation financial advisor Matthew Geiser (CRD# 4203782) regarding unsuitable recommendations and misleading statements about variable annuities to his customers. Geiser was with Independent Financial Group, LLC in Grand Island, Nebraska from … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Travis Dillard (CRD# 1741428) regarding unsuitable investment recommendations. Dillard has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since August 2015. Previously, he was registered with Morgan … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Jim Seol (CRD# 2876279) regarding outside business activities that generated $150 Million in private transactions. Seol was registered with Ameriprise Financial Services, Inc. in Irvine, California from 1997 … Continue reading
Erez Law is currently investigating former U.S. Bancorp Investments, Inc. financial advisor Shannon Daniels (CRD# 4606771) regarding securities fraud and theft of funds. Daniels was registered with U.S. Bancorp Investments, Inc. in Bloomfield, Missouri from 2011 to 2016 when she … Continue reading
Erez Law is currently investigating former Concorde Investment Services, LLC financial advisor Jill Tramontano (formerly known as Jill Cody) (CRD# 4333419) regarding misrepresentation, forgery and allowing a suspended broker to engage in securities transactions with his customers while suspended. Tramontano … Continue reading
Erez Law is currently investigating former Bay Mutual Financial, LLC financial advisor Christopher Ariola (CRD# 2957096) regarding unsuitable and unauthorized trades. Ariola was registered with Financial Telesis Inc. in Aliso Viejo, California from 2012 to 2014. Previously, he was registered … Continue reading