Negligence

Former First Allied Securities, Inc. Client Wins FINRA Arbitration for $1.49 Million

Posted on Tuesday, February 12th, 2019 at 11:06 am    

In January 2019, a former client of First Allied Securities, Inc. won an award in a FINRA arbitration for compensatory damages for $578,247, $500,000.00 in punitive damages, $60,506.00 in costs and $350,000.00 in attorneys’ fees for losses sustained from retirement plan losses. The investors were clients of financial advisor Larry Boggs (CRD# 1874727). The causes […]

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National Securities Corporation Financial Advisor Robert Abramowitz Investment Losses

Posted on Tuesday, February 12th, 2019 at 10:51 am    

Did you suffer losses due to investments with National Securities Corporation financial advisor Robert Abramowitz (CRD# 4437589)? Abramowitz has been registered with National Securities Corporation in Melville, New York since December 2017. Previously, Abramowitz was registered with Oppenheimer & Co. Inc. in Jericho, New York from April 2016 to September 2017 and with Raymond James […]

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Did You Lose Money Investing with Newbridge Securities Corporation Financial Advisor Jesse Krapf?

Posted on Thursday, January 31st, 2019 at 8:58 pm    

Erez Law is currently investigating Newbridge Securities Corporation financial advisor Jesse Krapf (CRD# 5467277) regarding investment losses. Krapf has been registered with Newbridge Securities Corporation in New York, New York 2016. Previously, Krapf was registered with the following brokerage firms: Columbus Advisory Group, Ltd. in New York, New York (01/29/2015 – 03/25/2015) Legend Securities, Inc. […]

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Have You Lost Money Investing with Raymond James & Associates, Inc. Financial Advisor Marc Miller?

Posted on Wednesday, January 9th, 2019 at 8:24 pm    

Erez Law is currently investigating Raymond James & Associates, Inc. financial advisor Marc Miller (CRD# 4521825) regarding investment losses. Miller has been registered with Raymond James & Associates, Inc. in Port Charlotte, Florida since 2013. Miller has been the subject of three customer complaints between 2008 and 2018, two of which were denied, according to […]

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Former Morgan Stanley Clients Win $4.2 Million FIRA Award Due to Negligent Supervision of Barred Broker Aaron Parthemer

Posted on Saturday, January 5th, 2019 at 11:25 am    

In December 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for $4.2 million for negligent supervision related to investment losses with barred broker Aaron Parthemer (CRD# 2546369). The FINRA arbitration panel found Morgan Stanley to be liable for negligence, negligent supervision, and violation of FINRA Rules 3110 and 3120. […]

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How to Bring a Claim Against Stifel, Nicolaus & Company, Incorporated Financial Advisor Ghazaleh Ebrahimi

Posted on Saturday, January 5th, 2019 at 9:47 am    

There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011. Ebrahimi has been the subject of four customer complaints between 2008 and 2018, according to his CRD report. Recent […]

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Can I Recover Losses from Raymond James & Associates Financial Advisor Terrence Fant?

Posted on Saturday, January 5th, 2019 at 7:50 am    

Did you lose money investing with Raymond James & Associates financial advisor Terrence Fant (CRD# 2788918)? Fant has been registered with Raymond James & Associates, Inc. in Devon, Pennsylvania since 2011. Fant has been the subject of one customer complaint, according to his CRD report: July 2018. “Breach of Fiduciary duty, Negligence, Fraud, Breach of […]

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Investigation of Joseph Stone Capital L.L.C. Financial Advisor Sebastian Wyczawski

Posted on Thursday, December 13th, 2018 at 8:54 am    

Did you lose money investing with Joseph Stone Capital L.L.C. financial advisor Sebastian Wyczawski (CRD# 2835135)? Wyczawski has been registered with Joseph Stone Capital L.L.C. in Center Moriches, New York since 2015. Wyczawski has been the subject of three customer complaints between 2004 and 2018, according to his CRD report. The recent cases are regarding: […]

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Investment Losses with Former Edward Jones Financial Advisor Curtis Howard?

Posted on Tuesday, October 9th, 2018 at 4:59 pm    

Former Edward Jones financial advisor Curtis Howard (CRD# 1390753) has pending $1 million customer complaint for investment losses. Howard has been registered with Harbor Financial Services, LLC in Mobile, Alabama since September 2017. Previously, Howard was registered with Edward Jones in Sapulpa, Oklahoma from 1985 to 2017, when he was terminated regarding, “Mr. Howard’s employment […]

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How to Bring a Claim Against Stifel, Nicolaus & Company, Inc. Financial Advisor Robert Cleary

Posted on Friday, September 28th, 2018 at 2:52 pm    

Were you the victim of Stifel, Nicolaus & Company, Inc. financial advisor Robert Cleary (CRD# 1505792)? Cleary has been registered with Stifel, Nicolaus & Company, Inc. in New York, New York since 2007. Cleary has been the subject of two customer complaints between 2016 and 2018, according to his CRD report: May 2018. “Claimant alleges […]

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