Misrepresentation and Omissions

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 […]

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Stifel, Nicolaus & Company, Incorporated Broker John Russell Faces $3 Million Customer Complaint

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

Stifel, Nicolaus & Company, Incorporated broker John Russell (CRD# 728702) faces a customer complaint for 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: […]

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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 […]

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Erez Law Investigates Former Northwestern Mutual Investment Services, LLC Broker Manish Shah

Posted on Tuesday, July 9th, 2019 at 8:08 pm    

Were you the victim of former Northwestern Mutual Investment Services, LLC broker Manish Shah (CRD# 4652835)? Shah was registered with Northwestern Mutual Investment Services, LLC in Princeton, New Jersey from 2003 to April 2019, when he was terminated regarding, “Representative was discharged, while under internal review for violating firm policy by borrowing money from a […]

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Former LPL Financial LLC Broker Barred By FINRA for Stealing $1 Million

Posted on Tuesday, July 9th, 2019 at 3:21 pm    

Former LPL Financial LLC and Invest Financial Corporation broker James Booth (CRD# 1906145) was barred by FINRA for stealing $1 million-plus for personal use. Booth was registered with LPL Financial LLC in Norwalk, Connecticut from February 2018 to June 2019, when he was terminated regarding, “Recently hired independent contractor representative admitted to course of conduct […]

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Were You the Victim of Berthel, Fisher & Company Financial Services, Inc. Financial Advisor Jonathan Pyne?

Posted on Saturday, March 30th, 2019 at 10:01 am    

Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. financial advisor Jonathan Pyne (CRD# 2580510) regarding unsuitable investment recommendations. Pyne has been registered with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis, Minnesota since 2007. Pyne has been the subject of six customer complaints between 2011 and 2019, two of which […]

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Former Kestra Investment Services, LLC Financial Advisor John Spach Barred by FINRA

Posted on Saturday, March 16th, 2019 at 11:48 am    

There are options for customers of former Kestra Investment Services, LLC financial advisor John Spach (CRD# 2731192) who suffered investment losses. Spach was registered with Kestra Investment Services, LLC in Aliso Viejo, California from 2014 to 2018. Previously, Spach was registered with Financial Telesis Inc. in Westlake Village, California from 2007 to 2014, with Financial […]

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Westport Capital Markets, LLC Financial Advisor Christopher McClure Accused of Excessive Markups and Fees in Client Investment Accounts

Posted on Saturday, March 16th, 2019 at 11:08 am    

Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Christopher McClure (CRD# 2289844) regarding excess fees. McClure has been registered with Westport Capital Markets, LLC in Westport, Connecticut since 2001. In November 2017, The Securities and Exchange Commission (SEC) alleged that McClure and Westport Capital Markets, LLC violated their fiduciary duty and defrauded […]

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Can I Recover Losses from Former Aegis Capital Corp Financial Advisor Michael Venturino?

Posted on Saturday, March 9th, 2019 at 12:41 pm    

Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with Aegis Capital Corp. in Melville, New York from 2014 to 2017. In July 2018, FINRA suspended Venturino […]

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Investigation of Summit Brokerage Services, Inc. Financial Advisor Victor Rigoni III

Posted on Friday, February 1st, 2019 at 11:09 am    

Did you lose money investing with Summit Brokerage Services, Inc. financial advisor Victor Rigoni III (CRD# 4272056)? Rigoni has been registered with Summit Brokerage Services, Inc. in Lake Forest, Illinois since 2010. Rigoni has been the subject of three customer complaints between 2008 and 2018, one of which was denied, according to his CRD report. […]

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