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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Jason Jaynes Investment Loss Options

Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Jason Jaynes Investment Loss Options

Posted on Tuesday, April 6th, 2021 at 1:01 am    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Jaynes (CRD# 5555100) regarding unsuitable investment recommendations in commodities. Jaynes has been registered with Wells Fargo Clearing Services, LLC in Plano, Texas since 2019. Previously, Jaynes was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas from… Read More

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Investigation of LPL Financial LLC Broker James Frawley

Posted on Monday, April 5th, 2021 at 7:08 pm    

Did you lose money investing with LPL Financial LLC broker James Frawley (CRD# 2867752)? Frawley has been registered with LPL Financial LLC in Santa Monica, California since 2004.  Frawley has been the subject of one customer complaint in 2021, according to his CRD report: January 2021. “Counsel for the customer alleges misrepresentations regarding option trades.”… Read More

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Spartan Capital Securities, LLC Broker John Cullen Investment Loss Options

Posted on Monday, April 5th, 2021 at 7:03 pm    

Were you the victim of Spartan Capital Securities, LLC broker John Cullen (CRD# 5062835)? Cullen has been registered with Spartan Capital Securities, LLC in Garden City, New York since 2013.  Cullen has been the subject of three customer complaints between 2010 and 2020, according to his CRD report. The most recent complaint is regarding:  January… Read More

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How to Bring a Claim Against MML Investors Services, LLC Broker Michael Nigro

Posted on Tuesday, February 16th, 2021 at 6:18 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with MML Investors Services, LLC LLC broker Michael Nigro (CRD# 2097646). Nigro has been registered with MML Investors Services, LLC in New York, New York since 1998.  Nigro has been the subject of five customer complaints between 2002 and… Read More

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Erez Law Investigates Former UBS Financial Services Inc. Broker George Vilfordi III

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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Wells Fargo Clearing Services, LLC Broker Tiffany Callahan Recovery Loss Options

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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How to Bring a Claim Against Former Fortune Financial Services, Inc. Broker Forrest Jones

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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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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