Erez Law is currently investigating former Western International Securities, Inc. founder, majority owner, and CEO Dawn Bennett (CRD# 1567051) regarding inflating managed assets and exaggerating investment returns for customers. Bennett was registered with Western International Securities, Inc. Washington, DC from … Continue reading
In February 2017, a former Sigma Financial Corporation and Sigma Planning Corporation client won an award in a FINRA arbitration for compensatory damages in the amount of $295,000 for unsuitable sales of leveraged exchange-traded funds (ETFs) and failure to execute … Continue reading
Erez Law is currently investigating former Citizens Securities, Inc. financial advisor Adam Stuart Fritzsche (CRD# 2821218) regarding unsuitable and overconcentrated investment recommendations. Fritzsche was registered with IFS Securities in Atlanta, Georgia from October 2016 to February 2017. Previously Fritzsche was … Continue reading
Erez Law is currently investigating Dougherty & Company LLC financial advisor Michael Timothy Dolan (CRD# 1209079) regarding outside business activities. Dolan has been registered with Dougherty & Company LLC in Minneapolis, Minnesota since 1997. In December 2016, Dolan was named … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Tom Gilliam Parks Jr. (CRD# 1558909) regarding unsuitable investment recommendations. Parks was registered with Stephenville, Texas from 1993 to 2016. In April 2016, Parks was terminated from employment … Continue reading
Erez Law is currently investigating Purshe Kaplan Sterling Investments financial advisor Bruce Benjamin Greenwald (CRD# 1413095) regarding unsuitable investment recommendations and misrepresentation. Greenwald has been registered with Purshe Kaplan Sterling Investments in Park City, Utah since July 2016. Previously, he … Continue reading
Erez Law is currently investigating former Source Capital Group, Inc. financial advisor Mark Robert Holcombe (CRD# 2901441) regarding outside business activities. Holcombe has been registered with Source Capital Group, Inc. in Westport, Connecticut from 2014 to 2015. FINRA has suspended … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. financial advisor John Kirkland Moy (CRD# 848350) regarding high risk and unsuitable investments. Moy has been registered with Merrill Lynch in West Palm Beach, Florida since 2005. Recently, … Continue reading
In May 2017, Puerto Rico filed for bankruptcy protection from creditors in what is being described as the largest municipal bankruptcy filing in history. Court protection from litigation as part of the debt-relief law (Title III) passed by Congress in … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor David Leonard Sheppard (CRD# 2527279) regarding excessive trading and churning in customer accounts. Sheppard was with Meyers Associates, L.P. in New York, New York from December 2015 to October … Continue reading