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What is FINRA’s Suitability Rule?

What is FINRA’s Suitability Rule?

Posted on Monday, March 13th, 2017 at 1:15 pm    

In 2012, the suitability rules the Financial Industry Regulatory Authority (FINRA) uses changed. Rule 2111 clarified and codified many precedents that were previously upheld and interpreted through case law. Rule 2111 replaces NASD Rule 2310 and offers clear standards that apply to securities brokerages and professionals. The Stipulations of the Rule Advisement professionals must adhere… Read More

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4 Points to Consider When Bringing a Suit Against a Securities Broker

Posted on Thursday, February 23rd, 2017 at 1:03 pm    

The standard broker-customer agreement usually states that disputes between the client and broker, including claims of fraud, will be settled through arbitration rather than litigation. This arbitration, which will be filed with FINRA (Financial Industry Regulatory Authority), does not involve a judge or jury, but instead allows an arbiter to hear your case in a… Read More

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Erez Law Investigating Claims Involving Former Ameriprise Broker Sean Mattson

Posted on Friday, June 12th, 2015 at 8:02 pm    

Erez Law is investigating claims regarding Sean Eric Mattson (CRD #4028781, South Lyon, Michigan). Mattson recently submitted an AWC in which he was suspended from association with any FINRA member in any capacity for one month. See FINRA Case #2014040837701. Mattson was associated with Ameriprise Financial Services, Inc., from July 2001 until his termination in… Read More

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Erez Law Investigating Claims Involving Former Lincoln Financial Securities Broker David Lange

Posted on Saturday, June 6th, 2015 at 10:28 am    

Erez Law is investigating claims regarding David Alexander Lange (CRD #4198134, Meridian, Idaho). Lange recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014040505802. Lange was associated with Lincoln Financial Securities Corp., from August 2009 until his termination in March 2014. The Form… Read More

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Erez Law Investigating Claims Involving Former Wells Fargo Representatives John Handy, Jonathan Timson, and Dennis Walker

Posted on Thursday, June 4th, 2015 at 9:57 am    

Erez Law is investigating claims regarding John Wendland Handy Jr. (CRD #1580981, Madison, Wisconsin), Jonathan Craig Timson (CRD #2031301, Springfield, Missouri) and Dennis Walker (CRD #1058338, Verona, Missouri). Handy, Timson, and Walker recently submitted an AWC in which they were each assessed a deferred fine of $20,000 and each suspended from association with any FINRA… Read More

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Erez Law Investigating Claims Involving Jonathan A. Francis

Posted on Wednesday, May 27th, 2015 at 10:49 am    

Erez Law is investigating claims regarding Jonathan A. Francis (CRD #5204602, Brooklyn, New York). Francis recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2013038988301. Francis formerly was associated with J.P. Turner & Co. (October 2013-November 2013), J.P. Morgan Securities, LLC (October 2012-October… Read More

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Erez Law Investigating Claims Involving Former Legend Equities Broker Jerry Chancy

Posted on Saturday, May 23rd, 2015 at 8:35 am    

Erez Law is investigating claims regarding Jerry Irvin Chancy (CRD #1787712, Savannah, Tennessee). Chancy recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043629801. Chancy formerly was associated with Legend Equities Corp. (November 2006-January 2015). FINRA found that Chancy refused to appear for… Read More

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Erez Law Investigating Claims Involving Former Wells Fargo Broker Who Ran Miami Nightclub

Posted on Tuesday, April 28th, 2015 at 8:42 am    

Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2011030405801. Parmether was associated with Wells Fargo Advisors LLC from October 2011 until his… Read More

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Erez Law Investigating Claims Involving Former Wells Fargo Broker Michael Vincent Borja

Posted on Monday, April 13th, 2015 at 12:55 pm    

Erez Law is investigating claims regarding Michael Vincent Borja (CRD #5451360, Miami, Florida). Borja recently submitted an AWC in which he assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 days. See FINRA Case #2013037029901. Borja formerly was associated with Wells Fargo Advisors, LLC (January… Read More

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Erez Law Investigating Claims Involving Bernard G. McGee

Posted on Monday, April 6th, 2015 at 10:26 am    

Erez Law is investigating claims regarding Bernard G. McGee (CRD #1203327, Cazenovia, New York). Following a FINRA hearing, McGee was barred from association with any FINRA member in any capacity; ordered to pay $236,202.50, plus interest, in restitution to a customer; and ordered to pay $59,264, plus interest, in disgorgement. See FINRA Case #2012034389202. McGee… Read More

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