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LPL FInancial LLC Fined $6.5 Million for Supervisory Failures

LPL FInancial LLC Fined $6.5 Million for Supervisory Failures

Posted on Tuesday, January 19th, 2021 at 10:48 pm    

In January 2020, FINRA fined LPL Financial LLC with a $6.5 million fine regarding supervisory failures. According to the Acceptance, Waiver & Consent (AWC), “LPL failed to establish and maintain a supervisory system, including written procedures, reasonably designed to achieve compliance with three regulatory obligations: record retention, fingerprinting and screening of associated persons, and supervision… Read More

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Were You the Victim of HCR Wealth Advisors Broker Gregory Heller?

Posted on Wednesday, November 18th, 2020 at 9:09 pm    

Erez Law is currently investigating HCR Wealth Advisors broker Gregory Heller (CRD# 1460520) regarding investment losses. Heller has been registered with Investment Security Corporation in Los Angeles, California since 2002 and with HCR Wealth Advisors in Los Angeles, California since 2007. Heller has been the subject of three customer complaints between 2009 and 2020, according… Read More

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Were You a Victim of Former Morgan Stanley Broker David Turetzky?

Posted on Tuesday, October 13th, 2020 at 1:12 am    

Former Morgan Stanley broker David Turetzky (CRD# 2954337) faces multiple customer complaints regarding customer investment losses. Turetzky has been registered with Ameriprise Financial Services, LLC in Saddle Brook, New Jersey since January 2019. Previously, Turetzky was registered with Liberty Partners Capital Management, LLC in Ramsey, New Jersey from 2018 to 2019. Previously, Turetzsky was registered… Read More

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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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