ETF/Inverse ETF

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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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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Warning to Investors: Former G.F. Investment Services, LLC Financial Advisor Daniel Hushek III

Posted on Wednesday, December 6th, 2017 at 10:38 am    

Erez Law is currently investigating former G.F. Investment Services, LLC financial advisor Daniel Hushek III (CRD# 4250117) regarding losses sustained from non-traditional exchange traded funds (ETFs). Hushek has been registered with G.F. Investment Services, LLC in Sarasota, Florida from 2005 to January 2017. Non-traditional ETFs are complex products that seek to return a multiple of […]

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Barred Broker Alert: Former WFG investments, Inc. Financial Advisor Jay Jordan

Posted on Thursday, November 16th, 2017 at 12:46 pm    

Erez Law is currently investigating former WFG Investments, Inc. financial advisor Jay Jordan (CRD# 1776666) regarding unsuitable purchases of non-traditional ETFs. Jordan has been registered with WFG Investments, Inc. in Oklahoma City, Oklahoma from 2005 to April 2016 when he was terminated regarding, “ WFG investments, Inc. (“WFG) has reasonably concluded the representative failed to […]

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WARNING to Investors: H. Beck, Inc. Financial Advisor James Dresselaers Accused of Recommending Unsuitable ETFs

Posted on Saturday, October 7th, 2017 at 9:25 am    

Erez Law is currently investigating H. Beck, Inc. financial advisor James Dresselaers (CRD# 1106109) regarding his recommendations to invest in unsuitable exchange-traded funds (ETFs). Dresselaers has been registered with H. Beck, Inc. in Bethesda, Maryland since 2003. In October 2017, FINRA fined Dresselaers $10,000 in civil and administrative penalties and fines, sanctioned him to $18,708 […]

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Have You Suffered Losses Due to Investments with Non-Traditional ETFs and Former G.F. Investment Services, LLC Financial Advisor Richard Martin?

Posted on Wednesday, September 20th, 2017 at 9:11 am    

Erez Law is currently investigating former G.F. Investment Services, LLC financial advisor Richard Martin (CRD# 723309) regarding non-traditional ETFs. Martin was registered with G.F. Investment Services, LLC in Penang, Florida from July 2009 to April 2014 and from April 2014 to July 2015, when he was terminated regarding, “FINRA case: 20150445876 opened 3-25-2015. Wells letter […]

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Did you Lose Money with Former LPL Financial LLC Financial Advisor Cory Brunell Regarding Inverse ETFs?

Posted on Monday, September 18th, 2017 at 10:14 am    

Erez Law is currently investigating former LPL Financial LLC financial advisor Cory Brunell (CRD# 3260340) regarding losses sustained from unsuitable recommendations in inverse exchange traded funds (ETFs). Brunell was registered with LPL Financial LLC in Valley Springs, California from 2007 to 2015. An inverse ETF is an exchange-traded fund that is traded on a public […]

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