Negligence

Were You the Victim of Former Aegis Capital Corp. Broker Tariq Sales?

Posted on Tuesday, November 5th, 2019 at 11:35 am    

There are options for customers of former Aegis Capital Corp. broker Tariq Sales (CRD# 2851440) who suffered investment losses. Sales was registered with Newbridge Securities Corporation in New York, New York from 2014 to 2018. Previously, Sales was registered with Aegis Capital Corp. in New York, New York from 2010 to 2014. Sales has been […]

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Former Legend Securities, Inc. Broker Nicholas Schiano Investment Losses

Posted on Wednesday, October 30th, 2019 at 9:19 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Legend Securities, Inc. broker Nicholas Schiano (CRD# 4429212). Schiano has been registered with Spartan Capital Securities, LLC in New York, New York since 2017. Previously, Schiano was registered with Worden Capital Management LLC in New York, New […]

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Former National Securities Corporation Broker James Mariani Investment Losses

Posted on Monday, October 21st, 2019 at 3:25 pm    

Were you the victim of former National Securities Corporation broker James Mariani (CRD# 2932631)? Mariani has been registered with Aegis Capital Corp. in Bayside, New York since September 2017. Previously, he was registered with National Securities Corporation in Mineola, New York from 2007 to 2017. In May 2005, NASD suspended and fined Mariani $15,000, regarding […]

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Former Newbridge Securities Corporation Broker Craig Sherrer REIT Losses

Posted on Tuesday, October 8th, 2019 at 7:32 am    

Did you suffer investment losses due to recommendations by former Newbridge Securities Corporation broker Craig Sherrer (CRD# 5972142)? Sherrer has been registered with Janney Montgomery Scott LLC in Garden City, New York since April 2018. Previously, Sherrer was registered with Newbridge Securities Corporation in New York, New York from 2012 to 2018. Sherrer has been […]

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IMS Securities, Inc. Broker Jackie Wadsworth Illiquid Investment Losses

Posted on Wednesday, September 11th, 2019 at 8:45 pm    

Former IMS Securities, Inc. broker Jackie Wadsworth (CRD# 2342163) barred by FINRA loses case against former customer for negligent supervision and high-risk, illiquid investment losses. Wadsworth has been registered with IMS Securities, Inc. in Houston, Texas since 1994. In November 2018, FINRA barred Wadsworth after she failed to comply with an arbitration award or settlement […]

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Former Capital & Security Management Inc. Client Wins FINRA Arbitration for $326,000

Posted on Wednesday, May 29th, 2019 at 8:15 pm    

In March 2019, a former client of Capital & Security Management Inc. won an award in a FINRA arbitration for compensatory damages for $326,000 plus 5% per annum until the award is paid in full. The customer complaint originally alleged $515,033.47 in damages. The investors were clients of financial advisor David Dorsett (CRD# 4348384). According […]

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Cambria Capital, LLC Financial Advisor Jarek Hansen Recovery Loss Options

Posted on Wednesday, May 29th, 2019 at 7:59 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Cambria Capital, LLC financial advisor Jarek Hansen (CRD# 6147219). Hansen has been registered with Cambria Capital, LLC in Salt Lake City, Utah since 2016. Previously, Hansen was registered with E*Trade Securities LLC in Sandy, Utah from January to […]

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Former AXA Advisors, LLC Client Wins $3.18 Million for Losses Due to Investments with Francesco Puccio

Posted on Wednesday, May 8th, 2019 at 1:31 pm    

In April 2019, a former client of AXA Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $2,224,672, plus 9% interest per annum until the award is paid in full, $67,294 in costs, and $889,869 in attorney fees for investment losses. The investors were clients of financial advisor Francesco Puccio (CRD# […]

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Former Morgan Stanley Client Wins FINRA Arbitration for $454,813 for Portfolio Mismanagement and Over-Concentration of Retirement Account

Posted on Wednesday, May 8th, 2019 at 1:09 pm    

In April 2019, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $415,888, $36,500 in expert witness fees, $2,000 in costs, and $425 for the claim filing fee for a total award of $454,813. The award is related to investment losses due to mismanagement of an investor’s […]

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The GMS Group Financial Advisor William Ornstein Investment Losses

Posted on Friday, May 3rd, 2019 at 9:25 am    

The GMS Group financial advisor William Ornstein (CRD# 500470) has two pending customer complaints for negligence that lead to client investment losses. Ornstein has been registered with The GMS Group in Boca Raton, Florida since 2001. In July 2001, the National Association of Securities Dealers, Inc. suspended Ornstein regarding, “NASD Rule 2110 participated in an […]

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