Private placements

Barred Broker: Former UBS Financial Services Inc. Financial Advisor Alex Herrera

Posted on Thursday, November 1st, 2018 at 10:23 am    

Former UBS Financial Services Inc. financial advisor Alex Herrera (CRD# 3204779) barred by FINRA regarding unreported outside business activities and private securities transactions. Herrera was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2018. In August 2018, FINRA barred Herrera after he consented to the sanction and to the entry […]

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Did Former Foresters Equity Services, Inc. Financial Advisor John Ernst Recommend Woodbridge Mortgage Investments?

Posted on Thursday, October 18th, 2018 at 8:09 am    

Erez Law is currently investigating former Foresters Equity Services, Inc. financial advisor John Ernst (CRD# 1958252) regarding recommending unsuitable Woodbridge Mortgage investments. Ernst has been registered with Foresters Equity Services, Inc. in San Diego, California from 2011 to March 2018, when he was terminated regarding, “The RR violated the Firm’s policies and procedures in that […]

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Have You Suffered Losses Due to Investments with GPB Capital Holdings?

Posted on Wednesday, October 3rd, 2018 at 5:29 pm    

Erez Law is currently investigating brokers around the country who recommended their customers invest in GPB Capital Holdings. According to public records, in August 2018, GPB Capital Holdings, a seller of high-risk, high-commission private placements, ceased raising capital from investors. GPB Capital Holdings missed sending the Securities and Exchange Commision (SEC) financial reports on April […]

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Former Cetera Advisors LLC Financial Advisor Scott Kozak Investment Losses

Posted on Monday, August 27th, 2018 at 1:59 pm    

Erez Law is currently investigating former Cetera Advisors LLC financial advisor Scott Kozak (CRD# 1272583) regarding engaging in private securities transactions. Kozak was registered with Cetera Advisors LLC in Highlands Ranch, Colorado from 2001 to August 2018 when he was terminated regarding, “Violating firm policy prohibiting Personal Securities Transactions.” In May 2018, FINRA opened an […]

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Temenos Advisory, Inc. Principal Charged with Fraud for $19 Million Investor Scheme

Posted on Monday, August 13th, 2018 at 2:39 pm    

Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since 1998. In July 2018, The Securities and Exchange Commission (SEC) charged the Connecticut-based investment adviser […]

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Have You Suffered Investment Losses with Former Newbridge Securities Corporation Financial Advisor Dennis Hayes?

Posted on Wednesday, July 11th, 2018 at 7:52 am    

Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Dennis Hayes (CRD# 4403550) regarding selling away and private securities transactions. Hayes was registered with Salomon Whitney Financial in Melville, New York for two days from April 25-27, 2017. Previously, he was registered with Newbridge Securities Corporation in Boca Raton, Florida from 2010 to […]

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Were You a Victim of an Investment Scheme with Former Sisk Investment Services, Inc. Financial Advisor Matthew Eckstein?

Posted on Wednesday, July 11th, 2018 at 6:19 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Sisk Investment Services, Inc. financial advisor Matthew Eckstein (CRD# 2997245) regarding undocumented investments. Eckstein was with Sisk Investment Services, Inc. in Syosset, New York from 2015 to June 2018. In April 2018, FINRA named Eckstein in a […]

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Investigation of Summit Brokerage Services, Inc. financial advisor Ronald Clark

Posted on Monday, April 9th, 2018 at 11:12 am    

There are options for customers of Summit Brokerage Services, Inc. financial advisor Ronald Clark (CRD# 1086724). Clark has been registered with Summit Brokerage Services, Inc. in Tampa, Florida since 2009. In August 2011, FINRA sanctioned Clark to $5,000 in civil and administrative penalties and fines and suspended him for 15 days after it was found […]

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How Investors Can Sue Former Western International Securities, Inc. Financial Advisor Jed Tinder

Posted on Monday, April 9th, 2018 at 10:52 am    

Did you lose money investing with former Western International Securities, Inc. financial advisor Jed Tinder (CRD# 1013144)? Tinder was registered with Western International Securities, Inc. in Missoula, Montana from 2005 to 2016. Previously, Tinder was “permitted to resign” from Prudential in Newark, New Jersey in 1996 and from Edward Jones in St. Louis, Missouri in […]

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Investigation of Former NMS Capital Advisors, LLC Financial Advisor Darrell Rideaux

Posted on Tuesday, March 27th, 2018 at 6:55 am    

There are options for customers of former NMS Capital Advisors, LLC financial advisor Darrell Rideaux (CRD# 5211032) who suffered investment losses. Rideaux was registered with NMS Capital Advisors, LLC in Beverly Hills, California from August 2016 to May 2017. Previously, he was registered with Morgan Stanley in Los Angeles, California from 2013 to 2015. In […]

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