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Dawson James Securities, Inc. Broker Rebecca Belicek Recovery Loss Options

Dawson James Securities, Inc. Broker Rebecca Belicek Recovery Loss Options

Posted on Tuesday, September 29th, 2020 at 8:27 pm    

Did you lose money investing with Dawson James Securities, Inc. broker Rebecca Belicek (CRD# 2106922)? Belicek has been registered with Dawson James Securities, Inc. in New York, New York since 2013.  Belicek has been the subject of one customer complaint, according to her CRD report: February 2020. “Failure to supervise and breach of fiduciary responsibility.”… Read More

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Options for Clients of Lek Securities Corporation Broker Ramute Zukas

Posted on Thursday, August 27th, 2020 at 7:08 pm    

Erez Law is currently investigating Lek Securities Corporation broker Ramute Zukas (CRD# 3026650) who suffered investment losses. Zukas has been registered with Lek Securities Corporation in New York, New York since 2002.  Zukas has been the subject of one customer complaint, according to his CRD report: June 2020. “Ramute Zukas was named as a respondent… Read More

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Former Spire Securities Client Wins $3 Million Award for Failure to Supervise Broker

Posted on Monday, September 16th, 2019 at 8:27 pm    

In July 2019, a former client of Spire Securities, LLC won an award in a FINRA arbitration for compensatory damages for $3 million for investment losses due to failure to supervise its broker. The investors were clients of financial advisor David Blisk (CRD# 2155652). The causes of action included failure to supervise, negligent or intentional… Read More

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SEC Orders Wedbush to Pay $250,000 Regarding Timary Delorme Pump and Dump Scheme

Posted on Thursday, March 21st, 2019 at 2:25 pm    

In March 2019, the Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge. According to the SEC order, “Wedbush ignored numerous red flags indicating that one of its registered representatives was involved in a long-running pump-and-dump… Read More

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Attention Former Morgan Stanley Financial Advisor Justin Amaral Victims

Posted on Friday, February 1st, 2019 at 11:56 am    

Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he was terminated regarding, “The allegations related to, among other issues, the employee’s status as an… Read More

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Did You Lose Money with Former Kovack Securities Inc. Financial Advisor Curtis Milakovich?

Posted on Saturday, September 22nd, 2018 at 10:23 am    

There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was registered with Kovack Securities Inc. in Naples, Florida from 2011 to 2013, when he was… Read More

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Investor Alert: Kestra Investment Services, LLC Financial Advisor Mitchell Walk

Posted on Tuesday, July 24th, 2018 at 1:25 pm    

There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001. Walk has been the subject of five customer complaints between 2011 and 2017, one of which was denied… Read More

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Investigation of Former Morgan Stanley Financial Advisor Ardell Roan

Posted on Sunday, May 27th, 2018 at 8:04 am    

Were you the victim of former Morgan Stanley financial advisor Ardell Roan (CRD# 1724076) regarding failure to supervise customer accounts? Roan was registered with Morgan Stanley in Paramus, New Jersey from 2009 to September 2017. Roan is not currently registered with any other brokerage firms. Roan has been the subject of one customer complaint, according… Read More

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Did You Lose Money Investing with Former Morgan Stanley Financial Advisor Jennifer Salmon?

Posted on Sunday, May 27th, 2018 at 7:53 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Morgan Stanley financial advisor Jennifer Salmon (CRD# 4730808) regarding failure to supervise customer accounts. Salmon has been registered with UBS Financial Services Inc. in Weehawken, New Jersey since April 2017. Previously, she was registered with Morgan Stanley… Read More

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Morgan Stanley Financial Advisor Richard Less Jr. Has $2 Million Plus Customer Complaint

Posted on Thursday, May 17th, 2018 at 7:02 am    

Were you the victim of Morgan Stanley financial advisor Richard Less Jr. (CRD# 1964991)? Less has been registered with Morgan Stanley in Paramus, New Jersey since 2009. Less has been the subject of one customer complaint, according to his CRD report: December 2017. “Claimants alleged failure to supervise with respect to Financial Advisor’s management of… Read More

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