Negligence

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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Did You Lose Money with Newbridge Securities Corporation Financial Advisor Michael Greenfield?

Posted on Tuesday, April 9th, 2019 at 12:26 pm    

There are options for customers of Newbridge Securities Corporation financial advisor Michael Greenfield (CRD# 5406611). Greenfield has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2017. Previously, Greenfield was registered with Oppenheimer & Co. Inc. in Boca Raton, Florida from 2013 to 2016. Greenfield has been the subject of six customer complaints […]

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Erez Law Investigates UBS Financial Services Inc. Financial Advisor Matthew Buchsbaum

Posted on Monday, April 1st, 2019 at 2:01 pm    

Did you suffer investment losses with UBS Financial Services Inc. financial advisor Matthew Buchsbaum (CRD# 2220565)? Buchsbaum has been registered with UBS Financial Services Inc. in New York, New York since 2015. Buchsbaum has been the subject of three customer complaints from 2018, according to his CRD report: February 2019. “Time Frame: February 2018 to […]

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Former Questar Capital Corporation Financial Advisor Todd Lamberty Investment Losses

Posted on Saturday, March 30th, 2019 at 11:32 am    

Did you suffer investment losses with former Questar Capital Corporation financial advisor Todd Lamberty (CRD# 4155573)? Lamberty has been registered with Newbridge Securities Corporation in Sioux Falls, South Dakota since July 2018. Previously, Lamberty was registered with Questar Capital Corporation in Sioux Falls, South Dakota from 2013 to 2018. Lamberty has been the subject of […]

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Former Benjamin & Jerold Brokerage I, LLC Client Wins FINRA Arbitration for $950,000 for Apollo Global Management LLC Stock Losses

Posted on Thursday, March 21st, 2019 at 1:46 pm    

In February 2019, a former client of Benjamin & Jerold Brokerage I, LLC won an award in a FINRA arbitration for compensatory damages for $957,598.77 plus 1.5% interest per annum for losses sustained from losses sustained from investments in Apollo Global Management LLC stock. The investors were clients of financial advisor Terence Dolan, Jr. (CRD# […]

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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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