Erez Law is currently investigating The Harvest Group broker Laurie Ingwersen (CRD# 4066323) regarding exchange-traded funds (ETFs). She has been registered with AW Securities in Waltham, Massachusetts, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was … Continue reading
Erez Law is currently investigating former Northwestern Mutual Investment Services, LLC broker John Kersey (CRD# 1480524) regarding private securities transactions. He was registered with Northwestern Mutual Investment Services, LLC in Cincinnati, Ohio, from 2001 to 2023, when he was terminated … Continue reading
A selling away broker sells investments that their brokerage firm did not approve. Selling away violates Financial Industry Regulatory Authority (FINRA) rules unless the broker follows specific disclosure and approval requirements. Investors who lose money through brokers selling unapproved investments … Continue reading
The Securities and Exchange Commission (SEC) Regulation Best Interest, known as Reg BI, requires brokers to put a retail investor’s interest ahead of their own when recommending a securities transaction or investment strategy. Reg BI replaced the older suitability standard … Continue reading
Structured note losses support a FINRA arbitration claim when a broker recommended the product without fully disclosing its risks or confirming it matched your investment profile. The more complex the product, the more a broker is obligated to explain how … Continue reading
Morgan Stanley broker Samuel Duckett (CRD# 5820876) is accused of stock losses. He has been registered with Morgan Stanley in Austin, Texas, since 2020. Samuel Duckett Customer Complaints He has been the subject of one customer complaint, according to his … Continue reading
Can I recover losses from investments with The Leaders Group, Inc. broker Jorge Valdes (CRD# 2403666)? He has been registered with The Leaders Group, Inc. in Miami, Florida, since 2021, and Financial Designs Wealth Management in Miami, Florida, since 2023. … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated broker Michael Barry (CRD# 2690041) regarding mutual fund losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in New Orleans, Louisiana, since 2015. He was registered with Sterne … Continue reading
Hill Country Exploration Inc. broker Jeffrey Mann (CRD# 2429708) is accused of energy sector losses. He has been registered with Douglas Scott Securities, Inc. in Plano, Texas, since 1995, and as vice president of Hill Country Exploration Inc. in Plano, … Continue reading
Erez Law is currently investigating former Triad Advisors LLC broker James Walesa (CRD# 1061209), who is accused of recommending unsuitable alternative investments. He was registered with Arkadios Capital in Park Ridge, Illinois, from 2019 to 2021. Previously, he was registered … Continue reading