Current Investigations

Erez Law Investigating Claims Involving Former Pruco Securities Broker John Wesley DuRant (Savannah, GA)

Posted on Tuesday, January 6th, 2015 at 9:04 am    

Erez Law is investigating claims regarding John Wesley DuRant III (CRD #1546234, Savannah, Georgia). DuRant 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 six months. See FINRA Case #2013039263101. The suspension is in effect from November 3, […]

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Erez Law Investigating Claims Involving Former NEXT Financial Broker Nathan A. Harmon

Posted on Wednesday, December 31st, 2014 at 10:27 pm    

Erez Law is investigating claims regarding Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) 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 nine months. See FINRA Case #2013037822701. The suspension is in effect from November 3, 2014, through […]

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Erez Law Investigating Claims Involving Former Princor Financial Services Broker Peter Terlecky

Posted on Friday, December 26th, 2014 at 9:34 am    

Erez Law is investigating claims regarding Peter Michael Terlecky III (CRD #2301793, Grand Island, New York), who has been named a respondent in a FINRA complaint alleging that he circumvented his member firm’s supervisory and compliance procedures by concealing and failing to process variable annuity purchase transactions totaling approximately $2.3 million as annuity replacement trades, […]

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Erez Law Investigating Claims Involving Former LPL Broker Jon “Larry” Cox

Posted on Tuesday, December 16th, 2014 at 10:39 pm    

Erez Law is investigating claims regarding Jon “Larry” Cox (CRD # 2073950, Knoxville, TN), who has been named a respondent in a FINRA complaint charging he failed to respond to FINRA requests for information following his termination from employment with LPL Financial, LLC. Cox became registered with LPL Financial in May 2001. Cox was a […]

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Erez Law Investigating Claims Involving Aon Douglas Miller (Chattanooga, Tennessee)

Posted on Tuesday, December 9th, 2014 at 7:28 am    

Erez Law is investigating claims regarding Aon Douglas Miller (CRD #3083225, Chattanooga, Tennessee). Miller recently was names as a respondent in a FINRA complaint alleging that he participated in private securities transactions with various entities in which four of his member firm’s customers invested a total of $1,550,000. At no time were the entities in […]

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Erez Law Investigating Claims Involving Jose Fernandez Lozano (Miami, Florida)

Posted on Monday, December 1st, 2014 at 8:49 am    

Erez Law is investigating claims regarding Jose Fernando Lozano (CRD #5619625, Miami, Florida). Lozano recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. See FINRA Case #2013037407801. Lozano was registered with Itau Europa […]

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Erez Law Investigating Claims Involving UBS’s V10 Enhanced FX Carry Strategy

Posted on Tuesday, February 17th, 2015 at 11:26 pm    

Erez Law is investigating claims regarding UBS’s V10 Enhanced FX Carry Strategy (“V10”), “in which the switch from long to short and back is systematically driven by a trading algorithm,” according to UBS’ website. When the European debt crisis hit in mid-2010, however, the index to which the notes were tied lost 26 percent in […]

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Erez Law Investigating Claims Involving Marc William Evans and Sales of Investments in Global Safety Labs, Inc., and Real Estate-Related Limited Partnerships

Posted on Thursday, February 26th, 2015 at 10:26 am    

Erez Law is investigating claims regarding Marc William Evans (CRD #859585, Tulsa, Oklahoma) for selling investments in Global Safety Labs, Inc., and several real-estate related limited partnerships, none of which were approved by his member firm. Evans recently submitted an AWC in which he was fined $10,000, suspended from association with any FINRA member in […]

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Erez Law and Aldarondo & Lopez Bras File Claim Against UBS for Elderly Couple With $850,000 Losses Related to UBS Funds and Puerto Rico Bonds

Posted on Wednesday, June 10th, 2015 at 4:35 pm    

Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a 63-year-old man and his 62-year-old wife for more than $850,000 in losses related to UBS/UBS-PR branded Puerto Rico Funds and Puerto Rico bonds. Aldarondo & Lopez […]

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Erez Law Investigating Claims Involving Former Lincoln Financial Securities Broker David Lange

Posted on Saturday, June 6th, 2015 at 10:28 am    

Erez Law is investigating claims regarding David Alexander Lange (CRD #4198134, Meridian, Idaho). Lange recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014040505802. Lange was associated with Lincoln Financial Securities Corp., from August 2009 until his termination in March 2014. The Form […]

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