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National Investment Fraud Lawyers

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Investigation of Former Meyers Associates, L.P. Financial Advisor Bruce Meyers

Investigation of Former Meyers Associates, L.P. Financial Advisor Bruce Meyers

Posted on Saturday, August 25th, 2018 at 9:34 am    

Former Meyers Associates, L.P. financial advisor Bruce Meyers (CRD# 1045447) was barred by FINRA following allegations that he sent, or caused to be sent, misleading and unbalanced advertising materials via email to prospective investors. Meyers was registered with Meyers Associates, L.P. in New York, New York from 1994 to June 2016. FINRA expelled Meyers Associates,… Read More

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Investment News: Ex-Morgan Stanley Broker Sold Troubled Puerto Rico Bonds

Posted on Friday, September 29th, 2017 at 4:22 pm    

According to a new story in Investment News, former Morgan Stanley broker Angel Aquino-Velez, sold his clients on the sales tax revenue-based Puerto Rico Cofina bonds. The bonds were sold to investors as attractive options with triple tax-free status but crumbled once the island filed for bankruptcy in May. The bankruptcy filing was prompted by… Read More

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Former Herbert J. Sims & Co. Inc. Financial Advisor Larry Wolfe Has 5 Pending Customer Complaints

Posted on Wednesday, September 27th, 2017 at 1:17 pm    

Erez Law is currently investigating former Herbert J. Sims & Co. Inc. financial advisor Larry Wolfe (CRD# 502361) regarding use of discretion in customer accounts. Wolfe has been registered with Stoever, Glass & Company Inc. in Boca Raton, Florida from May 2016 to June 2017. Previously, he was registered with Aegis Capital Corp. in Boca… Read More

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Were You a Victim of Cabot Lodge Securities LLC Financial Advisor Robert Tweed?

Posted on Wednesday, September 20th, 2017 at 9:42 am    

Erez Law is currently investigating Cabot Lodge Securities LLC financial advisor Robert Tweed (CRD# 2339324) regarding losses from a pooled investment fund. Tweed has been registered with Cabot Lodge Securities LLC in San Marino, California since 2015. Previously, he was registered with Concorde Investment Services, LLC in San Marino, California from 2011 to 2015. In… Read More

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Former Morgan Stanley Financial Advisor Peter Doyle Barred by FINRA Regarding Trading Discretion

Posted on Wednesday, September 20th, 2017 at 9:08 am    

Erez Law is currently investigating former Morgan Stanley financial advisor Peter Doyle (CRD# 2370593) regarding the use of trading discretion in a customer’s account. Doyle was registered with Morgan Stanley in Washington, DC from 2009 to 2016, when he was terminated regarding, “Allegations involving adherence to industry rules and/or firm policy including with regard to… Read More

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What is FINRA’s Suitability Rule?

Posted on Monday, March 13th, 2017 at 1:15 pm    

In 2012, the suitability rules the Financial Industry Regulatory Authority (FINRA) uses changed. Rule 2111 clarified and codified many precedents that were previously upheld and interpreted through case law. Rule 2111 replaces NASD Rule 2310 and offers clear standards that apply to securities brokerages and professionals. The Stipulations of the Rule Advisement professionals must adhere… Read More

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4 Points to Consider When Bringing a Suit Against a Securities Broker

Posted on Thursday, February 23rd, 2017 at 1:03 pm    

The standard broker-customer agreement usually states that disputes between the client and broker, including claims of fraud, will be settled through arbitration rather than litigation. This arbitration, which will be filed with FINRA (Financial Industry Regulatory Authority), does not involve a judge or jury, but instead allows an arbiter to hear your case in a… Read More

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Erez Law Investigating Claims Regarding St. Petersburg, Florida, Broker Jason Sayles

Posted on Friday, April 29th, 2016 at 8:00 am    

Erez Law is investigating claims related to Jason Daniel Sayles (CRD #4140191, St. Petersburg, Florida). Sayles recently submitted a FINRA Letter of Acceptance, Waiver and Consent (“AWC”) in which he was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in any capacity for 10 months. The suspension is in… Read More

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Erez Law Investigating Claims Regarding Disbarred Broker George E. Johnson

Posted on Thursday, March 31st, 2016 at 8:00 am    

Erez Law is investigating claims related to George E. Johnson (CRD# 2245802). Johnson was associated with Newport Coast Securities, Inc., in Chicago, IL, from April 2013 until February 2016. Prior to that, Johnson was associated with Meyers Associates, L.P. (November 2011 through May 2013) and Anderson & Strudwick, Inc. (July 2010 to December 2011), both… Read More

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Erez Law Investigating Claims Related to Morgan Stanley Broker Angel E. Aquino-Velez

Posted on Saturday, March 12th, 2016 at 8:00 am    

Erez Law is investigating claims related to Angel E. Aquino-Velez (CRD # 2687333), a Miami, Florida, broker who has been registered with Morgan Stanley since February 2010. Aquino previously was registered with Merrill Lynch, Pierce, Fenner & Smith, Inc. in Guaynabo, Puerto Rico (September 2006-September 2009) and UBS Financial Services, Inc. in Manati, Puerto Rico… Read More

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