Negligence

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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Former Trustmont Financial Group, Inc. Client Wins FINRA Arbitration Award for $1 Million

Posted on Wednesday, September 5th, 2018 at 9:09 pm    

In August 2018, a FINRA arbitration panel ordered Trustmont Financial Group, Inc. to pay a former client more than $1 million in damages. According to the claim, Trustmont requested $500,000 in damages regarding breach of fiduciary duty, committing fraud and negligence in a case related to two 1035 annuity exchanges and a private real estate […]

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Former Rhodes Securities Customer Wins $810,000 Complaint for Breach of Fiduciary Duty, Negligence, and Breach of Contract

Posted on Monday, August 13th, 2018 at 2:09 pm    

Erez Law is currently investigating Rhodes Securities owner and chairman Jim Gordon Rhodes (CRD# 813870), CEO J. Gordon Rhodes (CRD# 4763582) and president and COO Marilyn Zehntner (CRD# 2645697) regarding breach of fiduciary duty, negligence, and breach of contract. Rhodes has been registered with Rhodes Securities in Fort Worth, Texas since 1987. Zehntner and J. […]

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Erez Law Investigates Former National Securities Corporation Financial Advisor James Mariani

Posted on Monday, August 13th, 2018 at 1:34 pm    

Did you lose money investing with former National Securities Corporation financial advisor 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 […]

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