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 […]

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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 […]

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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 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, alleges […]

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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, […]

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Former Allegis Investment Services, LLC Broker Options Losses

Posted on Wednesday, October 16th, 2019 at 10:40 am    

Former Allegis Investment Services, LLC broker Brandon Stimpson (CRD# 4299623) is accused of unsuitable investment recommendations in options. Stimpson was registered with United Planners’ Financial Services Of America A Limited Partner in Logan, Utah from May to June 2019. Stimpson was previously registered with Allegis Investment Advisors in North Logan, Utah from 2014 to 2017, […]

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Former Wells Fargo Broker Leonard Kinsman Investment Losses

Posted on Wednesday, October 2nd, 2019 at 7:31 am    

Did you lose money investing with former Wells Fargo broker Leonard Kinsman (CRD# 2816535)? According to public records, Kinsman faces a FINRA customer complaint seeking $591,916 in compensatory damages and $1,776,000 in punitive damages, plus costs and lawyers’ fees, for a total of $2.37 million, for losses sustained from mishandling a widow’s life insurance payout […]

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Options Losses with Former Morgan Stanley Broker Scott Donato

Posted on Wednesday, September 11th, 2019 at 8:29 pm    

Erez Law is currently investigating former Morgan Stanley broker Scott Donato (CRD# 2336331) regarding options losses. Donato was registered with Morgan Stanley in Miami, Florida from 2009 to 2017. In March 2019, FINRA barred Donato after he failed to respond to FINRA request for information. Donato has been the subject of nine customer complaints between […]

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Erez Law Files Claim Against Raymond James Regarding Broker Steven Reznik for Options Trading Losses

Posted on Friday, September 6th, 2019 at 9:46 am    

Erez Law recently filed a FINRA arbitration against Raymond James Financial Services on behalf of investors who suffered investment losses due to recommendations from their broker Steven Reznik (CRD #1067199). Reznik was a registered representative of Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to July 2018, when he was terminated citing a […]

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Notice to Investors Who Suffered Losses Due to Investments in Yield Enhancement Strategy

Posted on Thursday, June 6th, 2019 at 7:47 am    

Financial advisors across the country who work at large brokerage firms including Merrill Lynch, Credit Suisse, Morgan Stanley, and UBS, among others, recommended unsuitable Yield Enhancement Strategy (YES strategy) investments that resulted in devastating losses to their clients. Unfortunately, many financial advisors did not adequately disclose the risks associated with these types of high-risk investments. […]

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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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