Churning

Janney Montgomery Scott LLC Financial Advisor Barbara Kenerson Has $500,000 Pending Complaint for Unsuitable Investments

Posted on Tuesday, April 30th, 2019 at 8:20 pm    

Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Barbara Kenerson (CRD# 1060984) regarding unsuitable investment recommendations and excessive trading. Kenerson has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island from 1999 to 2018. Kenerson has been the subject of three customer complaints between 2001 and 2019, one of which […]

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Capitol Securities Management, Inc. Financial Advisor Richard Ragold Investment Losses

Posted on Tuesday, April 30th, 2019 at 8:15 pm    

Did you lose money investing with Capitol Securities Management, Inc. financial advisor Richard Ragold (CRD# 1808168)? Ragold has been registered with Capitol Securities Management, Inc. in Florham Park, New Jersey since 2007. Ragold has been the subject of two customer complaints between 2001 and 2019, according to his CRD report: January 2019. “Client alleged that […]

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Former Craig Scott Capital, LLC Financial Advisor Edward Beyn Barred by FINRA

Posted on Tuesday, April 30th, 2019 at 8:11 pm    

Former Craig Scott Capital, LLC financial advisor Edward Beyn (CRD# 5406273) was barred by FINRA for churning and excessive trading in customer accounts. Beyn was registered with Rothschild Lieberman LLC in Syosset, New York from 2015 to 2016 and previously with Craig Scott Capital, LLC in Uniondale, New York from 2012 to 2015. In January […]

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Former First Standard Financial Company LLC Financial Advisor James Schwartz Barred by FINRA

Posted on Monday, April 29th, 2019 at 8:25 pm    

Former First Standard Financial Company LLC financial advisor James Schwartz (CRD# 3043085) was barred by FINRA. 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 in Garden City, New York from June to December […]

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Former Morgan Stanley Financial Advisor James Mewhinney III CEF Losses

Posted on Monday, April 29th, 2019 at 8:19 pm    

Former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) accused of excessive trading related to Closed End Funds (CEFs). Mewhinney has been registered with Morgan Stanley in Dallas, Texas from 2009 to August 2018. Mewhinney has been the subject of two customer complaints between 2008 and 2018, according to his CRD report. The recent […]

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Erez Law Investigates Raymond James Financial Services, Inc. Financial Advisor Joseph Esposito

Posted on Thursday, March 21st, 2019 at 1:34 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Raymond James Financial Services, Inc. financial advisor Joseph Esposito (CRD# 860964). Esposito has been registered with Raymond James Financial Services, Inc. in Clarks Summit, Pennsylvania since August 2016. Previously, Esposito was registered with Wells Fargo Advisors, LLC in […]

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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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