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National Investment Fraud Lawyers

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Federal Court Judge Affirms a $3.3 Million FINRA Arbitration Award Against Morgan Stanley Including Record-Setting $3 Million in Sanctions

Federal Court Judge Affirms a $3.3 Million FINRA Arbitration Award Against Morgan Stanley Including Record-Setting $3 Million in Sanctions

Posted on Tuesday, April 21st, 2020 at 4:43 pm    

In April 2020, a federal judge in Florida tossed Morgan Stanley’s Motion to Vacate a $3.3 million FINRA arbitration Award won by Jeffrey Erez, Esq. in July 2019 on behalf of its clients due to Puerto Rico bond and fund losses. The FINRA award included $3 million in sanctions for Morgan Stanley’s failure to comply… Read More

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Former FMSBond, Inc. Client Wins $455,000 FINRA Arbitration for Puerto Rico Bond Investment Losses

Posted on Wednesday, February 5th, 2020 at 10:21 pm    

In January 2020, a former client of FMSBonds, Inc. won an award in a FINRA arbitration for compensatory damages for $375,000 plus in $80,000 in attorney’s fees due to Puerto Rico bond investment losses. The causes of action included breach of fiduciary duty; breach of an advisor’s duty of reasonable care; breach of an advisors’… Read More

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Former Morgan Stanley Broker Ian M. Deliz Morales Puerto Rico Bond Losses

Posted on Sunday, January 5th, 2020 at 8:33 pm    

Erez Law is currently investigating former Morgan Stanley broker Ian M. Deliz Morales (CRD# 4697350) regarding Puerto Rico bond losses. Morales was registered with Morgan Stanley in Tampa, Florida from 2014 to 2016. Previously, Morales was registered with Popular Securities, LLC in San Juan, Puerto Rico from 2007 to 2014. Puerto Rico suffers from long-term… Read More

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Former UBS Financial Services Inc. Client Wins FINRA Arbitration for $4.42 Million

Posted on Monday, December 2nd, 2019 at 1:49 pm    

In August 2019, a former client of UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. won an award in a FINRA arbitration for compensatory damages for $4.25 million, plus 6.25% per annum, $170,000 in costs, and a $375 filing fee for losses sustained from losses due to investment in Puerto Rico… Read More

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Former UBS Client Wins FINRA Arbitration for $4.9 Million for Puerto Rico Bond Losses

Posted on Tuesday, August 27th, 2019 at 7:36 pm    

In July 2019, a former client of UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico won an award in a FINRA arbitration for compensatory damages for $4,813,161 plus $67,969.40 in costs and a $750 non-refundable portion of the filing fee for losses sustained from Puerto Rico bond investments. Puerto Rico suffers… Read More

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Next Financial Group, Inc. Broker Charles Doraine Puerto Rico Bonds Losses

Posted on Wednesday, July 24th, 2019 at 9:01 pm    

Did Next Financial Group, Inc. broker Charles Doraine (CRD# 70411) recommend you unsuitable Puerto Rico bonds? Doraine has been registered with Next Financial Group, Inc. in Corpus Christi, Texas since 2007. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. The deterioration of Puerto Rico’s financial condition culminated… Read More

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Former Merrill Lynch Broker Sylvester Knox Investment Losses

Posted on Tuesday, July 9th, 2019 at 3:26 pm    

Erez Law is currently investigating former Merrill Lynch broker Sylvester Knox (CRD# 1625705) regarding investment losses, including Puerto Rico Bonds. Knox was registered with FSC Securities Corporation in Short Hills, New Jersey from January 2017 to August 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey… Read More

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The GMS Group, LLC Financial Advisor Paul Mante Puerto Rico Bond Losses

Posted on Saturday, March 16th, 2019 at 10:54 am    

Did you suffer losses due to investments in Puerto Rico bonds with The GMS Group, LLC financial advisor Paul Mante (CRD# 4911949)? Mante has been registered with The GMS Group, LLC in Boca Raton, Florida since 2005. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. The deterioration… Read More

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Former D.A. Davidson & Co. Client Wins FINRA Arbitration for $950,000 For Puerto Rico Bond and Energy Sector Losses

Posted on Thursday, January 31st, 2019 at 9:29 pm    

In November 2018, a former client of D.A. Davidson & Co. won an award in a FINRA arbitration for compensatory damages for $783,286.94, plus 6% interest, $120,000 in attorney’s fees and $46,865 in costs, and the non-refundable $600 filing fee for losses. The causes of action included fraudulent misrepresentation; fraudulent concealment; negligent misrepresentation; negligence; negligent… Read More

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Did You Suffer Investment Losses with Oppenheimer & Co. Inc. Financial Advisor Steven Schultz?

Posted on Thursday, January 31st, 2019 at 9:13 pm    

Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Steven Schultz (CRD# 1764802) regarding unsuitable investment recommendations in the high risk energy sector and in Puerto Rico bonds. Schultz has been registered with Oppenheimer & Co. Inc. in Palm Beach Gardens, Florida since 2005. Puerto Rico suffers from long-term financial and economic deficiencies… Read More

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