Over Concentration

Have You Suffered Losses Due to Recommendations by Wells Fargo Clearing Services, LLC Broker Jeffrey Eiler?

Posted on Tuesday, March 3rd, 2020 at 9:56 am    

There are options for clients of Wells Fargo Clearing Services, LLC broker Jeffrey Eiler (CRD# 1028716) who suffered investment losses. Eiler has been registered with Wells Fargo Clearing Services, LLC in Fort Lauderdale, Florida since 2006. Eiler has been the subject of 12 customer complaints between 1995 and 2018, according to his CRD report. Recent […]

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Investment Losses with Former Next Financial Group, Inc. Broker Anthony Hobson?

Posted on Monday, November 11th, 2019 at 8:16 pm    

Former Next Financial Group, Inc. broker Anthony Hobson (CRD# 4212302) faces one pending customer complaint for over-concentrated accounts in speculative alternative investments. Hobson has been registered with Money Concepts Capital Corp. in Griffith, Indiana since 2016. Hobson was previously registered with Investors Capital Corp. in Highland, Indiana from 2013 to 2016 and with Next Financial […]

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Former Spartan Capital Securities, LLC Broker Dean Kajouras Faces $1.6 Million Customer Complaint

Posted on Tuesday, November 5th, 2019 at 12:02 pm    

Former Spartan Capital Securities, LLC broker Dean Kajouras (CRD# 1436548) accused of unsuitable over-concentration in customer accounts. Kajouras has been registered with Fordham Financial Management, Inc. in New York, New York since 2014. Previously, Kajouras was registered with Spartan Capital Securities, LLC in New York, New York from 2008 to 2014. In October 2016, Massachusetts […]

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Are You a Victim of Raymond James Financial Services, Inc. Broker Steve Reznick’s Speculative Investment Strategy?

Posted on Wednesday, October 16th, 2019 at 9:48 am    

Raymond James Financial Services, Inc. broker Steve Reznick (CRD# 1067199) is accused of recommending a speculative investment strategy. Reznick has been registered with Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to 2018. According to public records, Reznick recommended his clients over-concentrate their investment portfolios in the pharmaceutical and biotechnology sectors. It is […]

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Former Laidlaw & Company Broker Kevin Wilson Investment Losses

Posted on Tuesday, August 27th, 2019 at 8:16 am    

There are options for customers of former Laidlaw & Company broker Kevin Wilson (CRD# 3262701) who suffered investment losses. Wilson has been registered with National Securities Corporation in New York, New York since August 2017. Previously, Wilson was registered with Laidlaw & Company (UK) Ltd. in New York, New York from 2010 to 2017. Wilson […]

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Former Wells Fargo Brokers Charles Frieda and Charles Lynch Energy Sector Losses

Posted on Wednesday, July 10th, 2019 at 7:02 am    

Did you suffer losses due to investments with Former Wells Fargo brokers Charles Frieda (CRD# 5502319) and Charles Lynch (CRD# 3004877)? The duo are accused of over-concentrating securities in the speculative and high risk energy-sector in their customer account. Frieda and Lynch were partners in business at Wells Fargo. In December 2017, Frieda and Lynch […]

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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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Did Former Herbert J. Sims & Co. Inc. Financial Advisor Alan Appelbaum Recommend Unsuitable Structured Products?

Posted on Wednesday, May 8th, 2019 at 1:07 pm    

Erez Law is currently investigating former Herbert J. Sims & Co. Inc. financial advisor Alan Appelbaum (CRD# 500336) regarding over-concentrating investments in unsuitable structure products. Appelbaum has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2015. Previously, Appelbaum was registered with Herbert J. Sims & Co. Inc. in Boca Raton, Florida from […]

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Raymond James Financial Services, Inc. Financial Advisor Steve Reznick Investment Losses

Posted on Saturday, January 5th, 2019 at 10:33 am    

Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Steve Reznick (CRD# 1067199) regarding investment losses due to sales practice violations. Reznick has been registered with Raymond James Financial Services, Inc. in Tallahassee, Florida from 1989 to 2018. Reznick has been the subject of 12 customer complaints between 1998 and 2018, according […]

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Erez Law Investigates Former Merrill Lynch, Pierce, Fenner & Smith Financial Advisor Giustino Destefano

Posted on Wednesday, October 3rd, 2018 at 4:30 pm    

Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith financial advisor Giustino Destefano (CRD# 4926924)? Destefano was registered with Securities America, Inc. in Williamsville, New York from 2014 to February 2015, when he was terminated regarding, “failure to follow firms policies.” Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith […]

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