Failure to supervise

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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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Peachcap Financial Advisor Aaron Brodt Investment Losses

Posted on Wednesday, May 2nd, 2018 at 9:08 pm    

Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt has been the subject of four customer complaints between 2016 and 2017, one of which […]

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Investigation of Former Accelerated Capital Group Financial Advisor Wayne Miiller

Posted on Tuesday, March 27th, 2018 at 7:53 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Accelerated Capital Group financial advisor Wayne Miiller (CRD# 4813645). Miiller has been registered with Aeon Capital Inc. in Scottsdale, Arizona since February 2018. Previously, Miiller was registered with Accelerated Capital Group in Scottsdale, Arizona from 2010 to […]

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Former Allegis Investment Services, LLC Client Wins FINRA Arbitration for $404,482.41

Posted on Wednesday, March 21st, 2018 at 7:22 am    

In March 2018, a former client of Allegis Investment Services, LLC won an award in a FINRA arbitration for compensatory damages, prejudgment interest and fees for $404,482.41. The investors were clients of financial advisor Brandon Stimpson (CRD# 4299623). The former customer was awarded compensatory damages in the amount of $270,452.34, as well as $53,730.07 in […]

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Former Raymond James & Associates, Inc. Client Wins FINRA Arbitration for $255,000 for Losses Sustained from Unsuitable Investments in MLPs

Posted on Thursday, March 1st, 2018 at 8:33 am    

In February 2018, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for $229,250.00 in compensatory damages plus 3% interest per annum plus $25,000.00 in attorneys’ fees for losses sustained from investments in unsuitable master-limited partnerships (MLPs). The investors were clients of financial advisor Lewis Rogers (CRD# 402843). […]

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NYSE Opens Investigation into Wedbush Securities Inc. CEO and President Edward W. Wedbush for Systemic Trading Failure

Posted on Wednesday, December 6th, 2017 at 11:00 am    

Erez Law is currently investigating Wedbush Securities Inc. CEO and president Edward W. Wedbush (CRD# 461221) regarding an overall systemic failure to oversee and supervise trading activities. Wedbush has been registered with Lime Brokerage LLC in New York, New York since 2013 and with Wedbush Securities Inc. in Los Angeles, California since 1966. In October […]

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