Churning

Can I Recover Losses from Former Aegis Capital Corp Financial Advisor Michael Venturino?

Posted on Saturday, March 9th, 2019 at 12:41 pm    

Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Venturino has been registered with Spartan Capital Securities, LLC in Garden City, New York since April 2018. Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with […]

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Former Morgan Stanley Financial Advisor Mohamed Yassin Accused of Excessive Trading

Posted on Saturday, March 9th, 2019 at 11:14 am    

Erez Law is currently investigating former Morgan Stanley financial advisor Mohamed Yassin (CRD# 1673281) regarding investment losses due to excessive trading. Yassin was registered with National Securities Corporation in Westbury, New York from September 2017 to July 2018. Previously, Yassin was registered with Morgan Stanley in Garden City, New York from 2010 to 2017, when […]

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Former Morgan Stanley Financial Advisor James Mewhinney III Unsuitable CEF Losses

Posted on Friday, March 1st, 2019 at 11:27 am    

Erez Law is currently investigating former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) regarding excessive and unsuitable closed end fund (CEF) transactions. Mewhinney was registered with Morgan Stanley in Dallas, Texas from 2009 to 2018. Mewhinney has been the subject of two customer complaints between 2008 and 2018, according to his CRD report: […]

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Former Merrill Lynch Financial Advisor Thomas Buck Sentenced to 40 Months in Prison

Posted on Thursday, February 21st, 2019 at 8:43 am    

In February 2019, FINRA former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) to 40 months in prison following a guilty plea to one count of securities fraud in October 2017. Buck was registered with RBC Capital Markets, LLC in Indianapolis, Indiana from April to July 2015 and previously with Merrill […]

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Ron Carson of Carson Wealth Management Accused of Excessive Fees

Posted on Thursday, February 21st, 2019 at 7:53 am    

Erez Law is currently investigating Ron Carson (CRD# 1238219), who is head of Carson Wealth Management, regarding excessive fees. Carson Wealth Management is one of the most recognizable names in the financial advisory business. The firm is being sued by a former client for $500,000 for charging fees the client claims were excessive. This case […]

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How to Bring a Claim Against Coastal Equities, Inc. Financial Advisor Sam Aziz

Posted on Tuesday, February 12th, 2019 at 3:12 pm    

Were you the victim of Coastal Equities, Inc. financial advisor Sam Aziz (CRD# 1721932)? Aziz was registered with David A. Noyes & Company in Dublin, Ohio from July to November 2018, when he was terminated regarding, “While under internal investigation, the firm received a copy of a wells notice sent to mr. Aziz for activities […]

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Retired School Teachers Win $2.38 Million Fraud Case

Posted on Tuesday, February 12th, 2019 at 11:27 am    

In January 2019, two former clients of Capitol Securities Management, Inc. won an award in a FINRA arbitration for compensatory damages for a total of $2.38 million for losses sustained from excessive trading, unauthorized fund transfers and withdrawals, and fraud. Capitol is liable for and shall pay to Lakin $1,046,329.00 in compensatory damages, $348,428 in […]

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Attention Former Morgan Stanley Financial Advisor Justin Amaral Victims

Posted on Friday, February 1st, 2019 at 11:56 am    

Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he was terminated regarding, “The allegations related to, among other issues, the employee’s status as an […]

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Investigation of Former J.W. Cole Financial, Inc. Financial Advisor William Downing

Posted on Saturday, January 5th, 2019 at 8:06 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former J.W. Cole Financial, Inc. financial advisor William Downing (CRD# 1529382). Downing was registered with Coastal Equities, Inc. in Wimberley, Texas from August 2017 to March 2018 and with J.W. Cole Financial, Inc. in Wimberley, Texas from 2012 […]

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Did You Lose Money Investing with Former First Standard Financial Company LLC Financial Advisor James Schwartz?

Posted on Thursday, December 13th, 2018 at 10:44 am    

Erez Law is currently investigating former First Standard Financial Company LLC financial advisor James Schwartz (CRD# 3043085) regarding churning and unsuitable investment recommendations. Most recently, Schwartz was registered with Joseph Gunnar & Co. LLC in New York, New York from December 2016 to February 2017. Previously, Schwartz was registered with First Standard Financial Company LLC […]

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