Posted on Tuesday, November 3rd, 2020 at 10:21 pm
Did you lose money investing with former UBS Financial Services Inc. broker George Vilfordi III (CRD# 704800)? Vilfordi has been registered with Ameriprise Financial Services, LLC in Dallas, Texas since 2018. Previously, Vilfordi was registered with UBS Financial Services Inc. in Dallas, Texas from 2009 to 2018. Vilfordi has been the subject of one customer… Read More
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Posted on Wednesday, October 28th, 2020 at 11:41 am
Were you the victim of Wells Fargo Clearing Services, LLC broker Tiffany Callahan (CRD# 5145572)? Callahan has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2015. Callahan has been the subject of one customer complaint, according to his CRD report: June 2020. “Claimant alleges fraudulent misrepresentation regarding fees that were charged… Read More
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Posted on Monday, October 19th, 2020 at 11:51 pm
Erez Law is currently investigating former Fortune Financial Services, Inc. broker Forrest Jones (CRD# 4880765) regarding unsuitable investment recommendations. Jones has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Conroe, Texas since 2018. Previously, Jones was registered with the following brokerage firms throughout Texas: Fortune Financial Services, Inc. in Montgomery, Texas from… Read More
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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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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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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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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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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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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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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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