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National Investment Fraud Lawyers

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Investment Loss Options for Clients of Edward Jones Broker Craig Foreman

Investment Loss Options for Clients of Edward Jones Broker Craig Foreman

Posted on Tuesday, September 15th, 2020 at 7:20 pm    

Were you the victim of Edward Jones broker Craig Foreman (CRD# 6335574)? Foreman has been registered with Edward Jones in Odessa, Texas since 2014.  Foreman has been the subject of one customer complaint, according to his CRD report: August 2019. “Claimant alleges his son impersonated him in a phone call with the Firm’s Branch Office… Read More

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Attention Clients of Former Kestra Investment Services, LLC Broker James Daughtry

Posted on Tuesday, September 8th, 2020 at 1:43 pm    

There are options for clients of former Kestra Investment Services, LLC broker James Daughtry (CRD# 3272282) who suffered investment losses. Daughtry was registered with Kestra Investment Services, LLC in Dothan, Alabama from 2015 to 2020, when he was terminated regarding, “Daughtry violated FINRA Rules 8210 and 2010 and was bar from associating with any FINRA… Read More

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Options for Clients of Former Northland Securities, Inc. Broker Shawn Messner

Posted on Thursday, August 27th, 2020 at 7:11 pm    

Did you suffer investment losses due to recommendations by former Northland Securities, Inc. broker Shawn Messner (CRD# 2759697)? Messner has been registered with Needham & Company, LLC in Minnetonka, Minnesota since 2019. Previously, Messner was registered with Northland Securities, Inc. in Minneapolis, Minnesota from 2008 to 2019. In March 2020, Midwest Bank made allegations against… Read More

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Concorde Investment Services, LLC Broker David Zupek Investment Loss Options

Posted on Wednesday, August 19th, 2020 at 9:00 pm    

There are options for clients who suffered investments due to recommendations by Concorde Investment Services, LLC broker David Zupek (CRD# 2250376). Zupek has been registered with Concorde Investment Services, LLC and Concorde Asset Management, LLC in Racine, Wisconsin and The Villages, Florida since 2012. Zupek has been the subject of six customer complaints between 2004… Read More

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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… Read More

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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,… Read More

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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,… Read More

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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… Read More

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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… Read More

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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… Read More

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