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 […]
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 […]
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 […]
Former Morgan Stanley Financial Advisor Ami Forte Accused of Elder Abuse
Posted on Tuesday, February 12th, 2019 at 11:28 am
Were you the victim of former Morgan Stanley financial advisor 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 […]
Former Cetera Advisors LLC Financial Advisor 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, […]
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 […]
Have You Suffered 1st Global Losses with Financial Advisor Henry Wieniewitz?
Posted on Wednesday, October 17th, 2018 at 5:27 pm
Erez Law is currently investigating financial advisor Henry Wieniewitz (CRD# 4469542) regarding losses sustained from investments in 1st Global. He also goes by Trae Wieniewitz. Wieniewitz was registered with Taylor Capital Management Inc. in Knoxville, Tennessee from 2010 to January 2016. He has been unregistered with FINRA since that time, but has alleged to have […]
Seniors Beware: UBS Financial Services Inc. Financial Advisor Dwight West
Posted on Friday, September 28th, 2018 at 2:45 pm
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between 1986 and 2018, according to his CRD report. One recent complaint is regarding: May 2018. […]
Were You the Victim of Securities America, Inc. Financial Advisor Hector May and His Ponzi Scheme?
Posted on Monday, August 13th, 2018 at 4:00 pm
Erez Law is currently investigating Securities America, Inc. financial advisor Hector May (CRD# 323779) regarding a ponzi scheme that defrauded many people including elderly investors. May has been registered with Securities America, Inc. in New City, New York from 1998 to 2018 and with Securities America, Inc. from 1994 to 1998, when he was terminated […]
Elder Abuse Alert: Stifel, Nicolaus & Company, Inc. Stole More Than $200,000 from Elderly Client
Posted on Wednesday, August 1st, 2018 at 8:29 am
Former Stifel, Nicolaus & Company, Incorporated financial advisor Mitchell Yanow (CRD# 2148171) barred by FINRA for stealing more than $200,000 from an elderly client. Yanow has been registered with Stifel, Nicolaus & Company, Incorporated in Boca Raton, Florida from 2015 to May 2018, when he was terminated regarding, “FA took money from a client account […]