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Can I Recover Losses Due to Investments with Former Merrill Lynch Broker Marcus Boggs?

Can I Recover Losses Due to Investments with Former Merrill Lynch Broker Marcus Boggs?

Posted on Monday, August 30th, 2021 at 8:29 am    

    Did you lose money investing with former Merrill Lynch broker Marcus Boggs (CRD# 5055667)? Boggs was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chicago, Illinois from 2006 to 2018, when he was terminated regarding, “Conduct including withdrawal of funds from client accounts without their knowledge or approval.” In August 2021,… Read More

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Were You the Victim of Former FSC Securities Corporation Broker Leonard Fox?

Posted on Monday, May 3rd, 2021 at 8:27 pm    

Erez Law is currently investigating former FSC Securities Corporation broker Leonard Fox (CRD# 1034449) who was barred by FINRA for misappropriation of customer funds. Fox was registered with FSC Securities Corporation in Marlton, New Jersey from 2013 to 2016. In August 2017, the New Jersey Bureau of Securities expelled Fox from a self-regulatory organization.  In… Read More

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Were You the Victim of Former Morgan Stanley Broker Karen McKinley?

Posted on Monday, April 5th, 2021 at 6:50 pm    

Erez Law is currently investigating former Morgan Stanley broker Karen McKinley (CRD# 5608238) for customer investment losses. McKinley has been registered with Morgan Stanley in Manchester, New Hampshire from 2009 to 2016 after he was terminated regarding, “Allegations regarding employee’s compliance with pre-trade client confirmation requirement in connection with certain trades in non-discretionary accounts.” In… Read More

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Investigation of Former Raymond James & Associates, Inc. Broker Frederick Stow

Posted on Monday, October 21st, 2019 at 1:58 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Raymond James & Associates, Inc. broker Frederick Stow (CRD# 864436). Stow was registered with Raymond James & Associates, Inc. in Franklin, Texas from 2013 to 2019, when he was terminated regarding, “Terminated for misappropriating funds from customer… Read More

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Former Wells Fargo Clearing Services Broker Apostolos Pitsironis Investment Losses

Posted on Wednesday, October 16th, 2019 at 10:28 am    

Did you suffer investment losses due to recommendations by former Wells Fargo Clearing Services broker Apostolos Pitsironis (CRD# 2804907)?  Pitsironis was registered with Janney Montgomery Scott LLC in Melville, New York from December 2018 to June 2019, when he was terminated regarding, “FA was discharged after an internal investigation uncovered that the FA transferred funds… Read More

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Investment Losses with Former Morgan Stanley Broker Elias Herbert Hafen

Posted on Wednesday, September 11th, 2019 at 8:33 pm    

Erez Law is currently investigating former Morgan Stanley broker Elias Herbert Hafen (CRD# 867068) regarding misappropriation that led to investor losses. Hafen was registered with Wells Fargo Clearing Services, LLC. in New York, New York from March to September 2018 and previously with Morgan Stanley in New York, New York from 2009 to 2018, when… Read More

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Investigation of Commonwealth Financial Network Broker Benjamin Bourgeois

Posted on Wednesday, July 10th, 2019 at 7:06 am    

Were you the victim of Commonwealth Financial Network broker Benjamin Bourgeois (CRD# 2145555)? Bourgeois was registered with Commonwealth Financial Network in Metairie, LA from 2015 to April 2019, when he was terminated regarding, “Borrowing money from a customer in violation of FINRA Rule 3240 and Firm policy.” Previously, Bourgeois was registered with LPL Financial LLC… Read More

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Former LPL Financial LLC Broker James Bylenga Barred by FINRA

Posted on Tuesday, July 9th, 2019 at 8:23 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former LPL Financial LLC broker James Bylenga (CRD# 705143). Bylenga was registered with LPL Financial LLC in Portage, Michigan from 2016 to 2018 and previously with Comerica Securities in Kalamazoo, Michigan from 2009 to 2016. In April 2019,… Read More

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Former HD Vest Investment Services Financial Advisor Erin Verespy Barred by FINRA for Misusing Customer Funds

Posted on Monday, June 10th, 2019 at 1:23 pm    

Erez Law is currently investigating former HD Vest Investment Services financial advisor Erin Verespy (CRD# 2727866) regarding misuse and misappropriation of customer funds. Verespy was registered with HD Vest Investment Services in Trumbull, Connecticut from 1998 to 2019. In April 2019, FINRA barred Verespy after she consented to the sanction and to the entry of… Read More

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Former Securities America, Inc. Broker Hector Sentenced to 13 Years in Prison for Ponzi Scheme

Posted on Friday, April 12th, 2019 at 12:46 pm    

In June 2020, Securities America, Inc. was fined $1.75 million by the Securities and Exchange Commission (SEC) for allegedly failing to safeguard clients from Hector May (CRD# 323779), who pleaded guilty in 2018 to stealing $8 million from clients. According to the SEC, “As set forth in the Order, FIU’s automated Trade Monitor surveillance system… Read More

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