Fraud

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 […]

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, […]

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, […]

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 […]

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 […]

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 […]

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 […]

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. […]

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 […]

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 […]