Erez Law is currently investigating The GMS Group, LLC financial advisor Jason Figueroa (CRD# 5062799) regarding unsuitable trading in nontraditional exchange traded funds (ETFs) in customer accounts. Figueroa was registered with The GMS Group, LLC in Boca Raton, Florida from … Continue reading
Erez Law is currently investigating J.J.B. Hilliard, W.L. Lyons, LLC financial advisor Gary Lee Richards (CRD# 2224200) regarding his investment strategy concentrating portfolios in high risk energy stocks. Richards has been registered with J.J.B. Hilliard, W.L. Lyons, LLC in Steubenville, … Continue reading
Erez Law is currently investigating former Harbor Light Securities, LLC financial advisor Christopher Lee Goslin (CRD# 1720162) regarding outside business activities, investment mismanagement, breach of fiduciary duty, unsuitable investments, and negligence, among other issues. Goslin was previously registered with Harbor … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Wendy B. Feldman (CRD# 1946800) regarding discretion, unsuitable investment recommendations, unauthorized trades and failure to disclose fees to customers. Feldman has been registered with H. Beck, Inc. in Bethesda, Maryland … Continue reading
Erez Law is currently investigating former BAC Florida Investments financial advisor Alejandro Falla Carrasco (CRD# 5064828), who was barred by FINRA in February 2017. Falla was registered with BAC Florida Investments in Coral Gables, Florida from 2013 to 2014. Falla … Continue reading
Erez Law is currently investigating Hennion & Walsh, Inc. financial advisor Sean J. McElduff (CRD# 5565355) regarding unsuitable recommendations to invest in Puerto Rico municipal bonds. McElduff has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Jeffrey Randolph Wilson (CRD# 1161819) regarding recommending unsuitable energy investments. Wilson has been registered with Wells Fargo in Las Cruces, New Mexico since 2014. Wells Fargo brokers, including Jeffrey Randolph Wilson, … Continue reading
Erez Law is currently investigating former Merrill Lynch financial advisor Jeffrey Timothy Kluge (CRD# 2187964) regarding fraud and breach of contract. Kluge was registered with Merrill Lynch in Saint Paul, Minnesota from 1991 to 2016. On April 10, 2017, FINRA … Continue reading
Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. financial advisor Jerry Dewayne McCutchen Sr. (CRD# 1076678) regarding unsuitable recommendations with regard to the purchase of certain alternative investments. McCutchen was registered with Berthel, Fisher & … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Robert Alfred Dennison (CRD# 2674594) regarding unsuitable and overconcentrated investment recommendations in Puerto Rico bonds. Dennison has been registered with Morgan Stanley in West Palm Beach, Florida since 2013. Dennison was … Continue reading