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How to Bring a Claim Against Florida Broker John Orlando

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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Former Morgan Stanley Broker Michael Paesano Accused of Churning Customer Accounts

Posted on Wednesday, June 10th, 2020 at 8:46 pm    

Erez Law is currently investigating former Morgan Stanley broker Michael Paesano (CRD# 1557229) regarding investment losses due to churning (excessive trading). Paesano was registered with Morgan Stanley in New York, New York from 2011 to 2017, when he was terminated regarding, “Concerns related to employee’s exercise of discretion and investment strategy.” Paesano has been the… Read More

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Former New York Broker Michael Oromaner Investment Loss Options

Posted on Tuesday, May 5th, 2020 at 8:37 pm    

Erez Law is currently investigating former New York broker Michael Oromaner (CRD# 2857559) who was suspended indefinitely from the securities industry. Oromaner was registered with several broker-dealers during the past few years, including: Cova Capital Partners LLC in Syosset, New York (October 2016-January 2017) Salomon Whitney Financial in Farmingdale, New York (March 2016-September 2016) Avenir… Read More

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Former Morgan Stanley Broker Kevin Doyle Investment Losses

Posted on Monday, February 24th, 2020 at 8:40 pm    

Were you the victim of former Morgan Stanley broker Kevin Doyle (CRD# 2102345)? Doyle has been registered with Raymond James & Associates, Inc. in Tulsa, Oklahoma since 2018. Previously, Doyle was registered with Morgan Stanley in Tulsa, Oklahoma from 2009 to 2018. Doyle has been the subject of two customer complaints between 2018 and 2019,… Read More

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Options for Former Customers of Reid & Rudiger LLC Broker Edward Rudiger Jr.

Posted on Wednesday, January 29th, 2020 at 9:37 pm    

Reid & Rudiger LLC broker Edward Rudiger Jr. (CRD# 2118724) faces customer complaints regarding investment losses. Rudiger has been registered with Reid & Rudiger LLC in New York, New York since 1999. Rudiger has been the subject of six customer complaints between 1997 and 2019, two of which were denied, according to his CRD report:… Read More

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How to Bring a Claim Against Former Westpark Capital, Inc. Broker Gregory Ricker

Posted on Thursday, December 19th, 2019 at 9:55 am    

Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and a $5,000 civil and administrative penalty and fine, and he was suspended for six months… Read More

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How You Can Recover Losses from New York State Broker Richard Coleman

Posted on Monday, November 11th, 2019 at 8:29 pm    

Did you lose money investing with New York state broker Richard Coleman (CRD# 2720422)? Coleman was registered with multiple broker-dealers during the past decade, including: SW Financial in Melville, New York (05/07/2018 – 03/14/2019) Richard James & Associates, Inc. in Syosset, New York (06/05/2017 – 06/06/2018) Salomon Whitney Financial in Melville, New York (02/24/2016 –… Read More

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Were You a Victim of Former Arive Capital Markets Broker John Santariello

Posted on Tuesday, November 5th, 2019 at 12:07 pm    

Erez Law is currently investigating former Arive Capital Markets broker John Santariello (CRD# 5746158) regarding stock losses. Santariello was registered with Arive Capital Markets in Coram, New York from 2016 to 2018. Previously, Santariello was registered with the following brokerage firms: Cape Securities Inc. in Lake Grove, New York (08/11/2015 – 06/27/2016) Joseph Gunnar &… Read More

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How to Bring a Claim Against Former Wedbush Securities Inc. Broker Michael Sims

Posted on Tuesday, November 5th, 2019 at 12:04 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Wedbush Securities Inc. broker Michael Sims (CRD# 1034180). Sims was registered with Wedbush Securities Inc. in Santa Rosa, California from 2005 to 2019. Sims has been the subject of four customer complaints between 2009 and 2019, according… Read More

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