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National Investment Fraud Lawyers

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Concorde Investment Services, LLC Broker David Zupek Investment Loss Options

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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Raymond James & Associates, Inc. Broker Robert Jamail Sr. Investment Loss Options

Posted on Wednesday, July 8th, 2020 at 2:28 pm    

There are options for clients who suffered investment losses due to recommendations by Raymond James & Associates, Inc. broker Robert Jamail Sr. (CRD# 1877838). Jamail has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2013.  Jamail has been the subject of two customer complaints between 2010 and 2020, according to his… Read More

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Morgan Stanley to Pay $5 Million Penalty Related to Misleading Wrap Fees

Posted on Tuesday, May 19th, 2020 at 8:54 pm    

In May 2020, Morgan Stanley agreed to pay a $5 million penalty to settle with the Securities and Exchange (SEC), which charged the brokerage firm with providing misleading information to its clients in regard to trade execution services and transaction fees related to retail wrap fee programs. The $5 million settlement will be distributed to… Read More

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Catalyst Hedged Futures Strategy Fund Losses with Jerry Szilagyi

Posted on Monday, March 9th, 2020 at 9:24 pm    

Erez Law is currently investigating Catalyst Capital Advisors, LLC president and chief executive officer (CEO) Jerry Szilagyi (CRD# 1156349) regarding Catalyst Hedged Futures Strategy Fund investment losses. Szilagyi has been registered with Alt Fund Distributors LLC in New York, New York since 2015. In January 2020, the Securities and Exchange Commission (SEC) sanctioned Szilagyi to… Read More

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Former Osprey Partners, LLC Broker Larry Cohen Real Estate Investment Losses

Posted on Wednesday, February 5th, 2020 at 10:15 pm    

Erez Law is currently investigating former Osprey Partners LLC broker Larry Cohen (CRD# 3191796) regarding real estate security losses. Cohen has been registered with Aegis Capital Corp. in New York, New York since 2018. Previously, Cohen was registered with Osprey Partners LLC in Westport, Connecticut from 2016 to 2017 and prior to that with Paulson… Read More

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Cuso Financial Services, L.P. Broker Gerald Coyne Barred by FINRA For Variable Annuities

Posted on Wednesday, January 15th, 2020 at 5:49 pm    

Cuso Financial Services, L.P. broker Gerald Coyne (CRD# 4589061) was recently barred by FINRA. Coyne has been registered with Cuso Financial Services, L.P. in Harrisburg, Pennsylvania from 2011 to 2018 and previously with Community Investment Services, Inc. in Jermyn, Pennsylvania from 2006 to 2011. In December 2019, FINRA barred Coyne after he refused to appear… Read More

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Former Worden Capital Management LLC Broker John Calardo Recovery Loss Options

Posted on Thursday, December 19th, 2019 at 10:04 am    

Were you the victim of former Worden Capital Management LLC broker John Calardo (CRD# 6063938)? Calardo was registered with Four Points Capital Partners LLC in New York, New York from 2017 to 2018, with Worden Capital Management LLC in New York, New York from 2016 to 2017, and with Legend Securities, Inc. in New York,… Read More

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Berthel, Fisher & Company Financial Services, Inc. Broker Gordon Roberts Jr. Alleged to Recommend Unsuitable Investments Resultings in $1.7-Million Plus Losses

Posted on Tuesday, October 8th, 2019 at 7:15 am    

Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Gordon Roberts Jr. (CRD# 1474475) regarding investment losses. Roberts has been registered with Berthel, Fisher & Company Financial Services, Inc. in Mt. Vernon, Illinois since 2008. Roberts has been the subject of four customer complaints between 2002 and 2019, according to his… Read More

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Stifel, Nicolaus & Company, Incorporated Broker John Russell Investment Losses

Posted on Monday, August 12th, 2019 at 2:27 pm    

Stifel, Nicolaus & Company, Incorporated broker John Russell (CRD# 728702) faces a customer complaint about investment losses. Russell has been registered with Stifel, Nicolaus & Company, Incorporated in Clayton, Missouri since 1988. Russell has been the subject of three customer complaints between 2007 and 2018, one of which was denied, according to his CRD report:… Read More

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Former Cadaret, Grant & Co., Inc. Client Wins $1.5 Million FINRA Arbitration for Losses Due to Investment Scam

Posted on Thursday, July 25th, 2019 at 10:02 am    

In June 2019, a former client of Cadaret, Grant & Co., Inc. won an award in a FINRA arbitration for compensatory damages for $1,462,000, plus 9% per annum, for losses sustained from investments with broker Steven Pagartanis (CRD# 1958879). The causes of action included misrepresentation, omission, failure to supervise and breach of fiduciary duty. The… Read More

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