Current Investigations

Erez Law Files Claim for Over $15 Million Against Raymond James & Associates, Inc. for Biscayne Capital Related Losses

Posted on Tuesday, October 22nd, 2019 at 7:09 am    

Erez Law recently filed a FINRA arbitration claim for damages in excess of $15 million against Raymond James & Associates, Inc. on behalf of a group of mostly Ecuadorian investors who suffered losses due to investments in securities sold to them by Biscayne Capital BVI and/or Biscayne Capital related companies. The claim alleges that Raymond […]

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Erez Law Continues to Investigate Morgan Stanley Financial Advisor Edward Louis Barger

Posted on Tuesday, February 7th, 2017 at 8:10 pm    

Erez Law continues to investigate Morgan Stanley Financial Advisor Edward Louis Barger (CRD# 1360282). Erez Law represents a former customer of Barger who alleges that he recommended a reckless and unsuitable concentration of her portfolio in speculative energy sector investments. Barger was registered with Morgan Stanley for 8 years from 2008 to 2016. He is […]

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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 […]

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Erez Law Investigating Claims Involving Michael Evangelista and Real Estate-Related Investments in Promissory Notes or Limited Partnership Agreements

Posted on Thursday, February 12th, 2015 at 8:50 am    

Erez Law is investigating claims regarding Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania). Evangelista recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2012035327601. From November 1994 to December 2012, Evangelista was registered with the following FINRA regulated broker-dealers: (1) Capital […]

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Erez Law Investigating Claims Involving Former LPL Financial Broker Marc Halan Baldinger

Posted on Friday, February 6th, 2015 at 11:25 am    

Erez Law is investigating claims regarding Marc Halan Baldinger (CRD #1942349, Jensen Beach, Florida). Baldinger recently submitted an AWC in which he was assessed a deferred fine of $10,000, suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $233,000, plus interest, in disgorgement of selling compensation. See […]

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Erez Law Investigating Claims Involving Former Stifel, Nicolaus Broker Donald L. Bratten

Posted on Wednesday, February 4th, 2015 at 12:19 pm    

Erez Law is investigating claims regarding Donald L. Bratten (CRD #1904756, North Platte, Nebraska). Bratten recently submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for four months. See FINRA Case #2013037765701. The suspension is in effect from November 17, […]

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Erez Law Investigating Claims Involving Former Charles Schwab Broker Mark Jon Slocum

Posted on Thursday, January 29th, 2015 at 9:51 am    

Erez Law is investigating claims regarding Mark Jon Slocum (CRD #4303671, St. Paul, Minnesota). Slocum recently submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 18 months. See FINRA Case #2013039537701. The suspension is in effect from December 1, […]

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Erez Law Investigating Claims Involving Jeffrey Noard and GWG Renewable Secured Debentures

Posted on Tuesday, January 27th, 2015 at 12:00 pm    

Erez Law is investigating claims regarding Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin). Noard recently was named a respondent in a FINRA complaint alleging that in June 2012 he made an unsuitable recommendation for investments in a GwG Renewable Secured Debenture totaling $20,000 to one of his elderly customers at his member firm. See […]

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Erez Law Investigating Claims Involving Former Raymond James Broker Jo Ellen Fisher

Posted on Thursday, January 8th, 2015 at 9:33 am    

Erez Law is investigating claims regarding Jo Ellen Fisher (CRD #3047985, Gallipolis, Ohio). Fisher recently submitted an Offer of Settlement in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2014041208401. Fisher was registered with Raymond James Financial Services, Inc., from January 2010 until her termination in May […]

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Erez Law Investigating Claims Involving Arque Capital, Ltd., and GWG Renewable Debentures

Posted on Friday, January 23rd, 2015 at 2:17 pm    

Erez Law is investigating claims regarding Arque Capital, Ltd. (CRD #121192, Scottsdale, AZ) and sales of GWG Renewable Secured Debentures. Arque Capital recently submitted an AWC in which the firm was censured and fined $50,000. See FINRA Case #2012033994701. FINRA found that Arque Capital sold a total of approximately $3.53 million in an alternative investment […]

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