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National Investment Fraud Lawyers

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Investigation of LPL Financial LLC Broker James Frawley

Investigation of LPL Financial LLC Broker James Frawley

Posted on Monday, April 5th, 2021 at 7:08 pm    

Did you lose money investing with LPL Financial LLC broker James Frawley (CRD# 2867752)? Frawley has been registered with LPL Financial LLC in Santa Monica, California since 2004.  Frawley has been the subject of one customer complaint in 2021, according to his CRD report: January 2021. “Counsel for the customer alleges misrepresentations regarding option trades.”… Read More

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UBS Financial Services Inc. Client Wins FINRA Arbitration for YES Investment Losses

Posted on Tuesday, March 16th, 2021 at 5:32 pm    

In March 2021, clients of UBS Financial Services Inc. won an award in a FINRA arbitration for $1,044,242 in compensatory damages, plus 4% per annum interest until paid in full and a $600 non-refundable portion of the filing fee, for Yield Enhancement Strategy (YES) investment losses. Unfortunately for many investors, UBS’ YES program was represented… Read More

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Unsuitable Investments Options Due to Recommendations by Morgan Stanley Broker Martin Speyer

Posted on Monday, March 15th, 2021 at 10:22 pm    

Erez Law is currently investigating Morgan Stanley broker Martin Speyer (CRD# 432002) regarding unsuitable investment options. Speyer has been registered with Morgan Stanley in Beverly Hills, California since 2009.  Speyer has been the subject of nine customer complaints between 1989 and 2019, one of which was denied and one was closed without action, according to… Read More

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Former Hefren-Tillotson, Inc. Broker Wesley Creese Investment Loss Options

Posted on Wednesday, December 2nd, 2020 at 8:58 pm    

Erez Law is currently investigating former Hefren-Tillotson, Inc. broker Wesley Creese (CRD# 2967082) regarding options losses. Creese has been registered with Mid Atlantic Capital Corporation in Wexford, Pennsylvania since 2017. Previously, Creese was registered with Hefren-Tillotson, Inc. in Pittsburgh, Pennsylvania from 2002 to 2017. Creese has been the subject of one customer complaint, according to… Read More

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How to Bring a Claim Against Wedbush Securities Inc. Broker David Hirons

Posted on Monday, October 5th, 2020 at 5:36 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Wedbush Securities Inc. broker David Hirons (CRD# 2424566). Hirons has been registered with Wedbush Securities Inc. in San Diego, California since 2018. Previously, Hirons was registered with RBC Capital Markets, LLC in La Jolla, California from 2014 to… Read More

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Options for Clients of Former Raymond James Broker Daniel Pimental Who Suffered Investment Losses

Posted on Tuesday, August 11th, 2020 at 10:22 pm    

Erez Law is currently investigating former Raymond James broker Daniel Pimental (CRD# 2196343) regarding options losses. Pimental has been registered with Wells Fargo Advisors Financial Network, LLC in Hingham, Massachusetts since 2015. Previously, Pimental was registered with Raymond James Financial Services Advisors, Inc. in Hingham, Massachusetts from 2009 to 2015.  Pimental has been the subject… Read More

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UBS clients’ regrets about the firm’s Yield Enhancement Strategy

Posted on Sunday, May 17th, 2020 at 9:46 pm    

On May 15, 2020, Erez Law was featured in Wall Street Journal’s article titled: When Failure Is an Option: A Trading Strategy Soaks Investors. Click here to download the article. Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call… Read More

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How to Bring a Claim Against Former WestPark Capital Inc. Broker Terry Au

Posted on Thursday, December 19th, 2019 at 10:14 am    

There are options for customers of former WestPark Capital Inc. broker Terry Au (CRD# 5579990) who suffered investment losses. Au has been registered with Spartan Capital Securities, LLC in New York, New York since August 2019. Previously, Au was registered with Westpark Capital, Inc. from 2015 to 2019. Au has been the subject of two… Read More

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Erez Law Files Claim for CYES Losses by Merrill Lynch Broker Gordon Harper

Posted on Wednesday, December 11th, 2019 at 1:57 pm    

Erez Law recently filed a FINRA arbitration against Merrill Lynch for Harvest Collateral Yield Enhancement Strategy (CYES) losses. Their customer alleges that Gordon Harper (CRD #5460504), who has been a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas since 2016. The Erez Law clients, who were an elderly married couple,… Read More

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Former Merrill Lynch Client Wins FINRA Arbitration for $330,000 for Intel Corporation Stock Losses

Posted on Monday, December 2nd, 2019 at 1:35 pm    

In October 2019, a former client of Merrill Lynch Pierce Fenner & Smith Inc. won an award in a FINRA arbitration for compensatory damages for $330,000 for investment losses sustained. FINRA found that the former Merrill Lynch Pierce Fenner & Smith Inc. customer worked with two financial advisors at the firm. According to the award,… Read More

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