Were You the Victim of the $1 Million Lion’s Share Fraud with Former Capital Financial Services, Inc. Financial Advisor Sean Kelly?
Posted on Saturday, January 5th, 2019 at 11:33 am
Former Capital Financial Services, Inc. financial advisor Sean Kelly (CRD# 2294170) is accused of orchestrating $1 million Lion’s Share fraud. Kelly was registered with Center Street Securities, Inc. in Marietta, Georgia from August 2017 to October 2018. Previously, Kelly was registered with Capital Financial Services, Inc. in Marietta, Georgia from 2012 to 2017. In October […]
How to Bring a Claim Against Stifel, Nicolaus & Company, Incorporated Financial Advisor Ghazaleh Ebrahimi
Posted on Saturday, January 5th, 2019 at 9:47 am
There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011. Ebrahimi has been the subject of four customer complaints between 2008 and 2018, according to his CRD report. Recent […]
Can I Recover Losses from Former Mutual Securities, Inc. Financial Advisor Gary Pevey?
Posted on Saturday, January 5th, 2019 at 8:22 am
Have you suffered investment losses due to former Mutual Securities, Inc. financial advisor Gary Pevey (CRD# 2129469)? Pevey has been registered with Mutual Securities, Inc. in Sacramento, California from 2011 to February 2018, when he was terminated regarding, “Violation of FINRA Rule 3280, Private Securities Transaction of an Associated Person.” Pevey has been the subject […]
Merrill Lynch Fined $300,000 for Failure to Supervise Broker Eva Weinburg
Posted on Saturday, January 5th, 2019 at 7:11 am
In December 2018, FINRA censured and fined Merrill Lynch $300,0000 for failure to supervise Eva Weinberg (CRD# 1767814), who engaged in a scheme to defraud a Merrill Lynch customer. According to the Acceptance, Waiver and Consent, between February 2010 and June 2010, Merrill Lynch failed to reasonably supervise Weinberg, who, together with Michael Stern, engaged […]
Investment Losses with Aegis Capital Corp. Financial Advisor Damian Mamane
Posted on Thursday, December 13th, 2018 at 9:05 am
Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 and 2017, one of which was withdrawn, according to his CRD report: June 2017. “Time […]
Investigation of Joseph Stone Capital L.L.C. Financial Advisor Sebastian Wyczawski
Posted on Thursday, December 13th, 2018 at 8:54 am
Did you lose money investing with Joseph Stone Capital L.L.C. financial advisor Sebastian Wyczawski (CRD# 2835135)? Wyczawski has been registered with Joseph Stone Capital L.L.C. in Center Moriches, New York since 2015. Wyczawski has been the subject of three customer complaints between 2004 and 2018, according to his CRD report. The recent cases are regarding: […]
Former Next Financial Group Inc. Financial Advisor Douglas Simanski Settles with SEC for Operating $3.9 Million Fraud
Posted on Monday, November 26th, 2018 at 9:47 am
Former Next Financial Group Inc. financial advisor Douglas Simanski (CRD# 2606998) settled charges with the Securities and Exchange Commission (SEC) that he operated a $3.9 million fraud. Simanski has been registered with Next Financial in Altoona, Pennsylvania from 1999 to 2016, when he was terminated regarding, “RR sold fictitious investments and converted the funds […]
Dawn Bennett Guilty of $20 Million Ponzi Scheme
Posted on Thursday, November 1st, 2018 at 10:59 am
Erez Law is currently investigating former Western International Securities, Inc. CEO Dawn Bennett (CRD# 1567051) regarding a fraud that raised more than $20 million from at least 46 investors through the unregistered DJBennett convertible and promissory notes. It is alleged that elderly and financially unsophisticated investors were targeted by materially misrepresenting the company’s profitability and […]
Did Former ProEquities, Inc. Financial Advisor Todd Phillips Recommend Unsuitable Investments in Future Income Payments, LLC?
Posted on Thursday, October 25th, 2018 at 10:39 am
Erez Law is currently investigating former ProEquities, Inc. financial advisor Todd Phillips (CRD# 2948119) regarding recommendations to invest in Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. According to public records, a former client of Phillips filed a FINRA arbitration against Phillips’ former employer ProEquities, Inc. for […]
Did Former Foresters Equity Services, Inc. Financial Advisor John Ernst Recommend Woodbridge Mortgage Investments?
Posted on Thursday, October 18th, 2018 at 8:09 am
Erez Law is currently investigating former Foresters Equity Services, Inc. financial advisor John Ernst (CRD# 1958252) regarding recommending unsuitable Woodbridge Mortgage investments. Ernst has been registered with Foresters Equity Services, Inc. in San Diego, California from 2011 to March 2018, when he was terminated regarding, “The RR violated the Firm’s policies and procedures in that […]