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Were You the Victim of Excessive Trading with Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Steven Richardson?

Were You the Victim of Excessive Trading with Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Steven Richardson?

Posted on Monday, January 3rd, 2022 at 5:22 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Steven Richardson (CRD# 1819383) regarding excessive trading. Steven Richardson has been registered with LPL Financial LLC in Danville, California since 2018. Previously, Steven Richardson was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Walnut Creek, California from 1997 to… Read More

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Did You Lose Money with Former JPMorgan Chase Bank Broker Trevor Rahn?

Posted on Monday, January 3rd, 2022 at 10:08 am    

Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding excessive and unauthorized trading in customer accounts, including one elderly customer. Trevor Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California from 2010 to 2018, when he was terminated regarding, “unacceptable practices by the representative relating… Read More

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Former Vorpahl Wing Securities Broker Lee Nordstrom Stock Loss Options

Posted on Monday, November 29th, 2021 at 5:36 pm    

Former Vorpahl Wing Securities broker Lee Nordstrom (CRD# 2248261) is accused of excessive trading and over concentration of stocks. Lee Nordstrom was registered with LPL Financial LLC in Spokane, Washington from June to November 2020. Previously, Lee Nordstrom was registered with Vorpahl Wing Securities in Spokane, Washington from 2013 to 2020, when he was terminated… Read More

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Options for Clients of Former First Standard Financial Company LLC Broker Frank Venturelli Who Suffered Investment Losses

Posted on Monday, October 18th, 2021 at 7:04 pm    

Were you the victim of former First Standard Financial Company LLC broker Frank Venturelli (CRD# 6403468)? Venturelli was registered with Arive Capital Markets in Bay Ridge, New York from September to December 2019 and with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to 2019. Previously, Venturelli was registered with First… Read More

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Former Raymond James & Associates, Inc. Broker Guilford Nergard Investment Loss Options

Posted on Monday, October 18th, 2021 at 6:34 pm    

Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from 2020 to 2021. Previously, Nergard was registered with Raymond James & Associates, Inc. in Tempe,… Read More

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Investigation of Former Spartan Capital Securities, LLC Broker Christopher Orlando

Posted on Thursday, September 9th, 2021 at 12:12 am    

Can I recover losses from investments with former Spartan Capital Securities, LLC broker Christopher Orlando (CRD# 4136262)? Orlando has been registered with Spartan Capital Securities, LLC in New York, New York from January 2020 to May 2021. Prior to that, Orlando was registered with St. Bernard Financial Services, Inc. in Russellville, Arizona from 2019 to… Read More

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Wells Fargo Clearing Services, LLC Broker William Michetti Investment Loss Options

Posted on Monday, July 19th, 2021 at 4:16 pm    

There are options for clients of Wells Fargo Clearing Services, LLC broker William Michetti (CRD# 2185612) who suffered investment losses. Michetti has been registered with Wells Fargo Clearing Services, LLC in Radnor, Pennsylvania since 2000.  Michetti has been the subject of five customer complaints between 1999 and 2021, one of which was denied, according to… Read More

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Did Joseph Stone Capital L.L.C. Broker Peter Mirenda Churn Your Investment Accounts?

Posted on Tuesday, April 27th, 2021 at 1:07 am    

Erez Law is currently investigating Joseph Stone Capital L.L.C. broker Peter Mirenda (CRD# 4397656) regarding allegations of excessive trading, also known as churning. Mirenda has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2013.  Churning is the practice of a broker conducting excessive trading in a client’s account, mainly to… Read More

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Worden Capital Management Pays $1.5 Million for Failure to Supervises Actively Traded Accounts

Posted on Monday, February 8th, 2021 at 8:43 pm    

  In December 2020, FINRA sanctioned Worden Capital Management $1.5 million, as part of a settlement regarding findings that the firm failed to establish, maintain, and enforce a supervisory system reasonably designed to supervise actively traded accounts. The settlement includes $1.2 million in restitution as well as a $350,000 fine.  According to the FINRA settlement,… Read More

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How to Bring a Claim Against Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Michael Calvin

Posted on Wednesday, October 28th, 2020 at 11:19 am    

Did you lose money investing with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Calvin (CRD# 3269670)? Calvin has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Austin, Texas since 2015.  Calvin has been the subject of two customer complaints in 2020, according to his CRD report: July 2020. “The customer… Read More

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