Unsuitable Investments with Laidlaw & Company (Uk) Ltd. Broker John Busco?
Posted on Tuesday, October 8th, 2019 at 7:36 am
Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, Busco was registered with Morgan Stanley in Toms River, New Jersey from 2009 to 2019. […]
Were You the Victim of Oppenheimer & Co. Inc. Broker Cesar Hurtado?
Posted on Tuesday, October 1st, 2019 at 2:15 pm
Erez Law is currently investigating Oppenheimer & Co. Inc. broker Cesar Hurtado (CRD# 4137948) regarding allegations of churning customer accounts to generate excessive commissions as well as recommending unsuitable investments to his clients. Hurtado has been registered with Oppenheimer & Co. Inc. in Miami, Florida since 2003. According to public record, a former client of […]
Victim of Excessive Trading with Former Laidlaw & Company Broker Peter Viglione?
Posted on Wednesday, September 11th, 2019 at 8:36 pm
Were you the victim of excessive trading with former Laidlaw & Company (UK) Ltd. broker Peter Viglione (CRD# 4697621)? Viglione has been registered with Network 1 Financial Securities Inc. in New York, New York since June 2019. Previously, Viglione was registered with Laidlaw & Company in New York, New York from 2014 to July 2019. […]
Did National Securities Corporation Broker Craig Bonn Churn Your Investment Account?
Posted on Friday, September 6th, 2019 at 9:53 am
National Securities Corporation broker Craig Bonn (CRD# 2280460) is accused of unsuitability and excessive trading (churning). Bonn has been registered with National Securities Corporation in New York, New York since 2016. Churning is when a broker conducts excessive trading in a client’s account, mainly to generate commissions. Churning is an unethical and illegal practice that […]
How to Bring a Claim Against Former Financial West Group Broker Daniel Maughan
Posted on Thursday, September 5th, 2019 at 2:04 pm
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Financial West Group broker Daniel Maughan (CRD# 2561363). Maughan was registered with Financial West Group in Los Angeles, California from 2010 to 2017. In August 2019, Maughan was named a respondent in a FINRA complaint alleging that […]
Worden Capital Management LLC Broker Michael Stanton Receives $15 Million Customer Complaint
Posted on Tuesday, August 27th, 2019 at 7:40 pm
Were you the victim of Worden Capital Management LLC broker Michael Stanton (CRD# 1448072)? Stanton has been registered with Worden Capital Management LLC in New York, New York since December 2016. He was previously registered with Legend Securities, Inc. in New York, New York from 2013 to 2016. In June 2017, FINRA suspended Stanton for […]
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Charles Kenahan Terminated for Alleged Excessive Trading
Posted on Wednesday, July 24th, 2019 at 8:48 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated recently terminated broker Charles Kenahan (CRD# 1351974) regarding claims of unauthorized and excessive trading. Kenahan was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boston, Massachusetts from 2007 to July 2019, when he was terminated regarding, “Customers’ allegations of unauthorized trading, unsuitable investment recommendations and […]
Were You the Victim of Former UBS Financial Services Inc. Broker William Hobby?
Posted on Saturday, July 20th, 2019 at 11:55 am
There are options for customers of former UBS Financial Services Inc. broker William Hobby (CRD# 2240076). Hobby was registered with UBS Financial Services Inc. in Atlanta, Georgia from 2012 to October 2018, when he was terminated regarding, “FA discharged after firm’s review found that he (i) exercised discretion in client account without written authorization, in […]
Legend Securities, Inc. Settles Nearly $1 Million Claim for Investment Losses
Posted on Tuesday, July 9th, 2019 at 8:21 pm
In June 2019, a former client of Legend Securities, Inc., its CEO Anthony Fusco (CRD# 2704753), and three defunct New York firm’s registered representatives won a $966,708 award in a FINRA arbitration. The three brokers involved in this case are Brian Decker (CRD# 4565524), Steven Meyer (CRD# 4798400) and Bernardo Misseri (CRD# 2713297). Frank Fusco […]
Purshe Kaplan Sterling Investments Settles Claim for $9.5 Million for Alternative Products Losses with Michigan Native American Tribe
Posted on Tuesday, July 9th, 2019 at 2:49 pm
Purshe Kaplan Sterling Investments settled a claim for $9.5 million related to the sale of alternative investments to a Native American tribe, Saginaw Chippewa Indian Tribe of Michigan, by former Purshe Kaplan Sterling Investments broker Gopi Vungarala (CRD# 4856193). It is alleged that Vungarala engaged in excessive trading of non-traded Real Estate Investment Trusts (REITs) […]