Broker Misconduct

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, […]

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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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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Erez Law Investigating Claims Involving Michael Evangelista and Real Estate-Related Investments in Promissory Notes or Limited Partnership Agreements

Posted on Thursday, February 12th, 2015 at 8:50 am    

Erez Law is investigating claims regarding Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania). Evangelista recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2012035327601. From November 1994 to December 2012, Evangelista was registered with the following FINRA regulated broker-dealers: (1) Capital […]

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Erez Law Investigating Claims Involving Former LPL Financial Broker Marc Halan Baldinger

Posted on Friday, February 6th, 2015 at 11:25 am    

Erez Law is investigating claims regarding Marc Halan Baldinger (CRD #1942349, Jensen Beach, Florida). Baldinger recently submitted an AWC in which he was assessed a deferred fine of $10,000, suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $233,000, plus interest, in disgorgement of selling compensation. See […]

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Erez Law Investigating Claims Involving Former Stifel, Nicolaus Broker Donald L. Bratten

Posted on Wednesday, February 4th, 2015 at 12:19 pm    

Erez Law is investigating claims regarding Donald L. Bratten (CRD #1904756, North Platte, Nebraska). Bratten recently submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for four months. See FINRA Case #2013037765701. The suspension is in effect from November 17, […]

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