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Investigation of Former Spartan Capital Securities, LLC Broker Christopher Orlando

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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Were You the Victim of Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Justin Girard?

Posted on Tuesday, October 20th, 2020 at 12:14 am    

Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Justin Girard (CRD# 4404768) places $1 million-plus customer complaint for investment losses. Girard has been registered with J.P. Morgan Securities LLC in Palm Beach Gardens, Florida since February 2020. Previously, Girard was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in West Palm Beach, Florida… Read More

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How to Bring a Claim Against Purshe Kaplan Sterling Investments Broker Brendan Shaw

Posted on Tuesday, October 20th, 2020 at 12:10 am    

Erez Law is currently investigating Purshe Kaplan Sterling Investments broker Brendan Shaw (CRD# 4721215) regarding allegations of fraudulent and excessive trading. Shaw was registered with Purshe Kaplan Sterling Investments in Scottsdale, Arizona from 2012 to 2016.  In April 2019, the Securities Division of Washington barred Shaw and sanctioned him to a $60,000 civil and administrative… Read More

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Investigation of Former Fortune Financial Services, Inc. Broker Jonathan Freeze

Posted on Tuesday, October 13th, 2020 at 1:15 am    

Did you lose money investing with former Fortune Financial Services, Inc. broker Jonathan Freeze (CRD# 2642023)? Freeze was registered with Fortune Financial Services, Inc. in Canonsburg, Pennsylvania from 2015 to 2017. Previously, Freeze was registered with Summit Brokerage Services, Inc. in Fredericksburg, Virginia from 2013 to 2015 and with LPL Financial LLC in Fredericksburg, Virginia… Read More

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How to Bring a Claim Against Florida Broker John Orlando

Posted on Tuesday, September 29th, 2020 at 8:23 pm    

There are options for customers of Florida broker John Orlando (CRD# 2002197) who suffered investment losses due to their broker’s recommendations. Orlando has been registered with SW Financial in Lighthouse Point, Florida since 2019. Previously, Orlando was registered with the following firms:  Joseph Gunnar & Co. Llc in New York, New York from September to… Read More

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Morgan Stanley Fined $950,000 for Failing to Supervise Broker Who Churned Customer Accounts

Posted on Wednesday, August 19th, 2020 at 8:56 pm    

In August 2020, FINRA fined Morgan Stanley $950,000, which included $175,000 in fines and $774,574 in restitution to customers in connection with alleged failures to supervise one of its brokers who purportedly churned client accounts.  According to a Letter of Acceptance, Waiver & Consent (AWC), from January 2012 through December 2017, Morgan Stanley failed to… Read More

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