Churning

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 Merrill Lynch Financial Advisor Alexander Souponetsky?

Posted on Saturday, January 5th, 2019 at 6:46 am    

Former Merrill Lynch financial advisor Alexander Souponetsky (CRD# 5994959) accusing of exercising discretion in customer accounts. Souponetsky has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wayne, Pennsylvania from 2012 to 2016, when he was terminated regarding, “Conduct involving exercising discretion in non-discretionary client accounts, selling away, and failing to properly disclose […]

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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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Have You Suffered Losses Due to Investments with Newbridge Securities Corporation Financial Advisor Dana Davis?

Posted on Thursday, December 13th, 2018 at 9:57 am    

Newbridge Securities Corporation financial advisor Dana Davis (CRD# 1707708) is accused of unsuitable investment recommendations and excessive trading. Davis has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previously, Davis was registered with First Montauk Securities Corp. in Hauppauge, New York from 2002 to 2006, when he was terminated regarding, […]

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Investment Losses with Aegis Capital Corp. Financial Advisor Damian Mamane

Posted on Thursday, December 13th, 2018 at 9:05 am    

Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 and 2017, one of which was withdrawn, according to his CRD report: June 2017. “Time […]

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Merrill Lynch, Pierce, Fenner & Smith Incorporated Financial Advisor Charles Kenahan Investment Losses

Posted on Thursday, December 13th, 2018 at 7:00 am    

Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Charles Kenahan (CRD# 1351974) regarding losses due to unsuitable investments. Kenahan has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boston, Massachusetts since 2007. Kenahan has been the subject of four customer complaints between 2009 and 2018, according […]

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Were You a Victim of J.P. Morgan Securities LLC Financial Advisor Justin Lopez?

Posted on Thursday, December 13th, 2018 at 6:53 am    

J.P. Morgan Securities LLC financial advisor Justin Lopez (CRD# 5162263) is accused of excessive trading and unsuitable and unauthorized trades. Lopez has been registered with J.P. Morgan Securities LLC in Mineola, New York since 2016. Lopez has been the subject of two customer complaints between 2017 and 2018, according to his CRD report: July 2018. […]

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Warning to Investors: Former Morgan Stanley Financial Advisor Kevin Smith Barred By FINRA

Posted on Thursday, October 25th, 2018 at 10:02 am    

Former Morgan Stanley financial advisor Kevin Smith (CRD# 1363302) barred by FINRA regarding discretionary trading in customer accounts. Smith was registered with Morgan Stanley in Minneapolis, Minnesota from 2007 to November 2016, when he was terminated regarding, “Allegations related to representative’s activities while trustee on a family member’s trust and related to a trade that […]

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Erez Law Investigates First Standard Financial Company LLC Financial Advisor Arthur Coffey

Posted on Friday, September 28th, 2018 at 2:32 pm    

Were you the victim of First Standard Financial Company LLC financial advisor Arthur Coffey (CRD# 2553466)? Coffey has been registered with First Standard Financial Company LLC in Miller Place, New York since 2016. Previously, Coffey was registered with Legend Securities, Inc. in New York, New York from March 2015 to December 2016, with Tryco Securities, […]

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Investigation of Former Merrill Lynch, Pierce, Fenner & Smith Financial Advisor Thomas Buck

Posted on Saturday, September 22nd, 2018 at 7:02 am    

Were you the victim of excessive trading and securities fraud with former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868)? Buck was registered with RBC Capital Markets, LLC in Indianapolis, Indiana from April to July 2015 and previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis, Indiana from 1981 to […]

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