ETF/Inverse ETF

Kalos Capital, Inc. Broker Darren Kubiak GPB Capital Holdings Losses

Posted on Monday, October 21st, 2019 at 3:28 pm    

Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPC Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, Inc. in Alpharetta, Georgia since 2007. In October 2019, Kubiak was sanctioned to a $5,000 […]

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Independent Financial Group, LLC Broker Lyle Boudreaux Alleged to Recommend Unsuitable ETFs

Posted on Tuesday, October 8th, 2019 at 7:27 am    

Were you the victim of Independent Financial Group, LLC broker Lyle Boudreaux (CRD# 4303420)? Boudreaux has been registered with Independent Financial Group, LLC in Houston, Texas since 2012. Boudreaux was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas from 2007 to 2012, when he was terminated regarding, “Conduct involving failing […]

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Investigation of Former Key Investment Services LLC Broker Dominic Tropiano Who Was Recently Barred by FINRA

Posted on Monday, July 29th, 2019 at 2:43 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Key Investment Services LLC broker Dominic Tropiano (CRD# 4761462) regarding non-traditional exchange-traded funds (ETF) losses. Tropiano was registered with America Northcoast Securities, Inc. in Cleveland, Ohio from May to June 2016 and previously with Key Investment Services […]

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Investment Losses with Former Edi Financial, Inc. Broker William Thurmond?

Posted on Monday, July 29th, 2019 at 2:28 pm    

Were you the victim of former Edi Financial, Inc. broker William Thurmond (CRD# 870133)? Thurmond was registered with Alexander Capital, L.P. in New York, New York from December 2016 to May 2017. Previously, Thurmond was registered with Edi Financial, Inc. in El Paso, Texas from 1997 to 2016. Finra expelled Edi Financial, Inc. in June […]

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Former Morgan Stanley Client Wins FINRA Arbitration for $520,000 for ETF Losses

Posted on Tuesday, July 9th, 2019 at 2:54 pm    

In May 2019, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $519,089, plus 8.75% interest per annum until paid in full for losses sustained from exchange traded fund (ETF) losses. The investors were clients of financial advisor Timothy Prouty (CRD# 4928098), who was an unnamed party […]

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Investigation of Former Aegis Capital Corp. Financial Advisor Eduard Leytman

Posted on Tuesday, May 14th, 2019 at 3:11 pm    

Did you lose money investing with former Aegis Capital Corp. financial advisor Eduard Leytman (CRD# 3250307)? Leytman was last registered with Aegis Capital Corp. in New York, New York from 2010 to 2018. Leytman has been the subject of two customer complaints between 2008 and 2019, one of which was denied, according to his CRD […]

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investors with Losses in VIX Have Options

Posted on Monday, November 19th, 2018 at 6:25 pm    

Have you suffered losses due to investments with inverse volatility-linked exchange traded funds (ETFs) when the Chicago Board Options (CBOE) Volatility Index (VIX) Index skyrocketed? If your broker or brokerage firm sold you inverse volatility-linked exchange traded funds (ETFs) without disclosing the risks of the fund, Erez Law may be able to help you recover […]

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Former Financial West Group Financial Advisor John Simoncic Barred for Unsuitable ETFs

Posted on Monday, November 12th, 2018 at 2:15 pm    

Erez Law is currently investigating former Financial West Group financial advisor John Simoncic (CRD# 1062932) regarding unsuitable recommendation involving non-traditional exchange traded funds (ETFs). Simoncic was registered with several brokerage firms during the past few years: Financial West Group in Reno, Nevada (05/29/2014 – 11/28/2016) Securities America, Inc. in Solana Beach, California (10/11/2012 – 01/08/2014) […]

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How to Bring a Claim Against Independent Financial Group, LLC Financial Advisor Lyle Boudreaux

Posted on Sunday, March 11th, 2018 at 8:31 am    

Were you the victim of Independent Financial Group, LLC financial advisor Lyle Boudreaux (CRD# 4303420). Boudreaux has been registered with Independent Financial Group, LLC in Houston, Texas since 2012. Boudreaux was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas from 2007 to 2012, when he was terminated regarding, “Conduct involving […]

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Former Royal Alliance Associates, Inc. Client Wins FINRA Arbitration for $187,000 For Losses From Junk Bonds and Leveraged ETFs

Posted on Wednesday, December 6th, 2017 at 10:57 am    

In November 2017, a former client of Royal Alliance Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $186,538, as well as $28,925.00 in costs, and $65,288 in attorneys’ fees for losses sustained from a predominantly risky strategy, largely comprised of unspecified junk bonds and leveraged ETFs. The investors were clients […]

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