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National Investment Fraud Lawyers

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Mutual Fund Losses with Former AXA Advisors, LLC Broker Jenna Kang

Mutual Fund Losses with Former AXA Advisors, LLC Broker Jenna Kang

Posted on Monday, June 21st, 2021 at 8:24 pm    

Erez Law is currently investigating former AXA Advisors, LLC broker Jenna Kang (CRD# 6334679) regarding mutual fund losses. Kang was registered with AXA Advisors, LLC in Los Angeles, California from 2016 to 2020, when she was terminated regarding, “During a review of a customer complaint, RR admitted to signing client names to product account applications.”… Read More

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Investment Loss Options for Clients of Fidelity Brokerage Services LLC Broker Anthony Mesquit

Posted on Monday, June 21st, 2021 at 7:52 pm    

Were you the victim of Fidelity Brokerage Services LLC broker Anthony Mesquit (CRD# 5210309)? Mesquit has been registered with Fidelity Brokerage Services LLC in Jacksonville, Florida since 2007.  Mesquit has been the subject of two customer complaints between 2018 and 2020, according to his CRD report: April 2020. “Claimant alleged that the recommendation by the… Read More

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Securities America Sanctioned by FINRA for LJM Preservation & Growth Fund Losses

Posted on Monday, May 17th, 2021 at 4:24 pm    

Erez Law is currently investigating Securities America, Inc. brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund. In March 2021, FINRA sanctioned Securities America, Inc. to pay a $100,000 fine, as well as $235,979.77 in restitution plus interest.  Between August 2016, and February 2018, SAI failed to reasonably supervise… Read More

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LJM Funds Investment Losses with J.W. Cole Financial, Inc. Brokers

Posted on Monday, April 19th, 2021 at 7:17 pm    

Did your J.W. Cole Financial, Inc. broker recommend you invest in LJM funds? If your J.W. Cole Financial, Inc. broker sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you recover your losses. In March 2021, FINRA censured and fined J.W. Cole Financial, Inc. to… Read More

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Cambridge Investment Research, Inc. Sanctioned by FINRA for LJM Preservation & Growth Fund Losses

Posted on Monday, April 19th, 2021 at 7:07 pm    

In March 2021, FINRA sanctioned Cambridge Investment Research, Inc. and sanctioned the firm to pay a $400,000 fine, as well as $3,134,354.82 in restitution plus interest. FINRA also required the firm to issue a certification signed by an officer and registered principal of the firm that, as of the date of the certification, Cambridge Investment… Read More

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Were You the Victim of Merrill Lynch Broker Kenneth Pesavento?

Posted on Monday, April 19th, 2021 at 7:04 pm    

Erez Law is currently investigating Merrill Lynch broker Kenneth Pesavento (CRD# 360864) regarding mutual fund investment losses. Pesavento has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oak Brook, Illinois since 1978.  Pesavento has been the subject of one customer complaint in 2021, according to his CRD report: January 2021. “The deceased… Read More

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Investment Loss Options with Raymond James Financial Services, Inc. Broker Steven Lyons

Posted on Monday, April 19th, 2021 at 7:02 pm    

Erez Law is currently investigating Raymond James Financial Services, Inc. broker Steven Lyons (CRD# 5343894) regarding mutual fund losses. Lyons has been registered with Raymond James Financial Services, Inc. in Newton, New Jersey since 2008.  Lyons has been the subject of one customer complaint in 202, according to his CRD report: November 2020. “Client alleges… Read More

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Mutual Fund Losses with Former UBS Financial Services Inc. Broker Ricardo Armijo

Posted on Monday, March 15th, 2021 at 10:29 pm    

Did you lose money investing with former UBS Financial Services Inc. broker Ricardo Armijo (CRD# 2694904)? Armijo has been registered with Raymond James & Associates, Inc. in Birmingham, Michigan since 2019. Previously, Armijo was registered with UBS Financial Services Inc. in Birmingham, Michigan from 2009 to 2019. Armijo has been the subject of three customer… Read More

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Options for Clients of Merrill Lynch Broker Thomas Moore

Posted on Monday, March 15th, 2021 at 10:20 pm    

Were you the victim of Merrill Lynch broker Thomas Moore (CRD# 2526192)? Moore has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York since 2006.  Moore has been the subject of five customer complaints between 2003 and 2020, one of which was denied, according to his CRD report. The… Read More

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Former RBC Capital Markets Client Wins FINRA Arbitration for $175,000 for Pioneer Municipal Bond Fund Losses

Posted on Monday, March 8th, 2021 at 7:19 pm    

In February 2020, a former client of RBC Capital Markets won an award in a FINRA arbitration for compensatory damages for $175,000 for investment losses. The investors were clients of broker Brian Wurdemann (CRD# 4206425).  The causes of action included breach of contract, breach of fiduciary duty, lack of supervision, fraudulent practices, negligent and intentional… Read More

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