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National Investment Fraud Lawyers

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Were You the Victim of Former Morgan Stanley Broker Karen McKinley?

Were You the Victim of Former Morgan Stanley Broker Karen McKinley?

Posted on Monday, April 5th, 2021 at 6:50 pm    

Erez Law is currently investigating former Morgan Stanley broker Karen McKinley (CRD# 5608238) for customer investment losses. McKinley has been registered with Morgan Stanley in Manchester, New Hampshire from 2009 to 2016 after he was terminated regarding, “Allegations regarding employee’s compliance with pre-trade client confirmation requirement in connection with certain trades in non-discretionary accounts.” In… Read More

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Former Pruco Securities, LLC Broker Roger Duvall Barred by FINRA

Posted on Monday, February 8th, 2021 at 8:39 pm    

Erez Law is currently investigating former Pruco Securities, LLC broker Roger Duvall (CRD# 2503718) who was barred by FINRA. Duvall was registered with Pruco Securities, LLC in Bellevue, Washington from 2018 to 2019. Previously, he was MML Investors Services, LLC in Spokane, Washington from 2017 to 2018 and previously with MSI Financial Services, Inc. in… Read More

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Former Sandlapper Securities Broker Christopher Miller Investment Loss Options

Posted on Wednesday, July 8th, 2020 at 2:31 pm    

There are options for clients of former Sandlapper Securities broker Christopher Miller (CRD# 4044818) who suffered investment losses. Miller has been registered with Emerson Equity LLC in San Mateo, California since March 2019. Previously, Miller was registered with Sandlapper Wealth Management, LLC in Tustin, California from 2015 to 2019. Prior to that, Miller was registered… Read More

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Notice to Victims of Elder Abuse with Former R.M. Stark & Co., Inc. Broker Thomas Marino

Posted on Tuesday, October 1st, 2019 at 2:06 pm    

Former R.M. Stark & Co., Inc. broker Thomas Marino (CRD# 4438533) was barred by FINRA regarding possible misuse of funds from a senior customer. Marino was registered with R.M. Stark & Co., Inc. in Delray Beach, Florida from 2012 to 2019, when he was terminated regarding, “client alleges inappropriate an unsuitable investments for her objectives… Read More

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Former Morgan Stanley Broker David Strnad Engaged in 100s of Unauthorized CD Trades In Elderly Customer’s Account

Posted on Saturday, July 20th, 2019 at 8:14 pm    

Former Morgan Stanley broker David Strnad (CRD# 1982721) was suspended by FINRA for 18 months regarding unauthorized trades in an elderly customer’s accounts. Strnad was registered with Wells Fargo Clearing Services, LLC in Nashville, Tennessee from 2016 to 2018, and previously with Morgan Stanley in Franklin, Tennessee from 2009 to 2016. In June 2019, FINRA… Read More

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Former Wedbush Securities Inc. Broker William Heiden Faces $1 Million-Plus Customer Complaint

Posted on Tuesday, July 9th, 2019 at 3:12 pm    

Did you suffer losses due to investments with former Wedbush Securities Inc. broker William Heiden (CRD# 2885156)? Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, FINRA named Heiden as a respondent in a complaint alleging that he “engaged in unauthorized trading in the accounts of… Read More

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Did you Suffer Losses Due to Investments with Former Wedbush Securities Inc. Financial Advisor William Heiden?

Posted on Thursday, February 21st, 2019 at 7:17 am    

Erez Law is currently investigating former Wedbush Securities Inc. financial advisor William Heiden (CRD# 2885156) regarding investment losses due to unauthorized trades. Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, FINRA named Heiden as a respondent in a complaint alleging that he “engaged in unauthorized… Read More

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Barred Former Morgan Stanley Broker Ami Forte Accused of Elder Abuse

Posted on Tuesday, February 12th, 2019 at 11:28 am    

Were you the victim of former Morgan Stanley broker Ami Forte (CRD# 2457536)? Forte was registered with Pinnacle Investments, LLC in Syracuse, New York from March to October 2018. Forte was registered with Morgan Stanley in Palm Harbor, Florida from 2009 to 2016, when she was terminated regarding, “Allegations involving adherence to industry rules and/or… Read More

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Former Cetera Advisors LLC Broker Stephen Carver Has $9.3 Million Pending Elder Abuse Complaint

Posted on Friday, February 1st, 2019 at 10:55 am    

Were you the victim of elder abuse with former Cetera Advisors LLC financial advisor Stephen Carver (CRD# 2230161)? Carver was registered with the following brokerage forms during the past few years: Lifemark Securities Corp. in Peoria, Illinois (11/08/2017 – 12/31/2018) Cetera Advisors LLC in Peoria, Illinois (11/19/2010 – 09/19/2017) Brewer Financial Services, LLC in Peoria,… Read More

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Erez Law Investigates Wells Fargo Clearing Services, LLC Financial Advisor James Schaedler Jr.

Posted on Saturday, January 5th, 2019 at 10:20 am    

Former Wells Fargo Clearing Services, LLC financial advisor James Schaedler Jr. (CRD# 4264512) has nearly $1 million customer complaint regarding misappropriation of funds. Schaedler was registered with Wells Fargo Clearing Services, LLC in Anaheim, California from 2010 to 2017, when he was terminated regarding, “Discharged after allegations that the financial advisor’s daughter received funds via… Read More

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