Fraud

Former RBC Capital Markets Client Wins FINRA Arbitration for $175,000 for Pioneer Municipal Bond Fund Losses

Posted on Tuesday, June 16th, 2020 at 3:21 pm    

In February 2020, a former client of RBC Capital Markets won an award in a FINRA arbitration for compensatory damages for $175,000 for investment losses. The investors were clients of broker Brian Wurdemann (CRD# 4206425).  The causes of action included breach of contract, breach of fiduciary duty, lack of supervision, fraudulent practices, negligent and intentional […]

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Insight Securities, Inc. Broker Carlos Legaspy Accused of Fraud

Posted on Wednesday, May 20th, 2020 at 7:18 am    

Erez Law is currently investigating Insight Securities, Inc. broker Carlos Legaspy (CRD# 2148751) regarding allegations of fraud. Legaspy has been registered with Insight Securities, Inc. in Highland Park, Illinois since February 2020 and previously with the firm from 2002 to September 2019. Legaspy has been the subject of four customer complaints in 2018 and 2019, […]

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How to Bring a Claim Against Barred Former Woodbury Financial Services, Inc. Broker Stephen Fry

Posted on Tuesday, May 5th, 2020 at 9:02 pm    

Were you the victim of former Woodbury Financial Services, Inc. broker Stephen Fry (CRD# 2928258)? Fry was registered with Woodbury Financial Services, Inc. in Germantown, Tennessee from 2011 to 2019. In December 2019, FINRA barred Fry after he failed to respond to FINRA request for information. Fry has been the subject of one customer complaint, […]

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Barred Former Country Capital Management Company Broker Adam Lopez Investment Losses

Posted on Tuesday, April 28th, 2020 at 1:57 pm    

Were you the victim of former Country Capital Management Company broker Adam Lopez (CRD# 5562750)? Lopez was registered with Country Capital Management Company in Springfield, Illinois from 2008 to 2018, when he was terminated regarding, “Individual was terminated by Firm due to termination by affiliated insurance companies for alleged violation of provisions in his insurance […]

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Former Stifel, Nicolaus & Company, Incorporated Client Wins FINRA Arbitration for $1.5 Million

Posted on Tuesday, April 28th, 2020 at 1:48 pm    

In October 2019, a former client of Stifel, Nicolaus & Company, Incorporated won an award in a FINRA arbitration for compensatory damages for $1,524,176. The investors were clients of broker Kenneth Blumberg (CRD# 1585520). The causes of action included breach of contract, breach of duty, professional negligence, breach of fiduciary duty, violation of the Securities […]

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Garden State Securities, Inc. Broker Anthony Joslin Investment Losses

Posted on Wednesday, March 18th, 2020 at 1:53 pm    

Were you the victim of Garden State Securities, Inc. broker Anthony Joslin (CRD# 2281191)? Joslin has been registered with Garden State Securities, Inc. in Red Bank, New Jersey since 2014. Joslin has been the subject of eight customer complaints between 2000 and 2019, according to his CRD report. The most recent complaint is regarding: June […]

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Options for Victims of Former Nylife Securities LLC Broker Ronald Knight

Posted on Monday, March 9th, 2020 at 9:14 pm    

Were you the victim of former Nylife Securities LLC broker Ronald Knight (CRD# 5265446)? Knight was registered with Nylife Securities LLC in Timonium, Maryland from 2008 to 2017. In October 2019, FINRA barred Knight after he “consented to the sanction and to the entry of findings that he converted funds from his member firm. The […]

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Former Financial West Group and Western International Securities, Inc. Broker Margareta Childs Investment Loss Options

Posted on Monday, February 24th, 2020 at 9:06 pm    

Are you interested in learning your options due to investment losses with former Financial West Group and Western International Securities, Inc. broker Margareta Childs (CRD# 1495891)? Childs was with Western International Securities, Inc. in Irvine, California from 2017 to 2019. Previously, Childs was registered with Financial West Group in Irvine, California from 2002 to 2017. […]

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Options for Future Income Payments, LLC Losses due to Investments with Former NYLife Securities LLC Broker Gabriel Hynes

Posted on Wednesday, February 19th, 2020 at 7:12 pm    

There are options for customers of former NYLife Securities LLC broker Gabriel Hynes (CRD# 3152541) who suffered losses due to investments in Future Income Payments, LLC (FIP LLC) and related investments and insurance policies funded by FIP distributions. Hynes was registered with Kestra Investment Services, LLC in St. Augustine, Florida from March to April 2018 […]

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Did You Suffer Investment Losses with Former Transamerica Financial Advisors and ProEquities, Inc. Broker Narinder Singh?

Posted on Wednesday, February 12th, 2020 at 9:20 am    

Erez Law is currently investigating Transamerica Financial Advisors and ProEquities, Inc. broker Narinder Singh (CRD# 3100308) regarding Express Asset and Wealth Management, Inc. investment losses. Singh was registered with Farmers Financial Solutions, LLC in Sacramento, California from 2018 to 2019. Previously, Proequities, Inc. in Elk Grove, California from 2016 to 2017 and previously with Transamerica […]

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