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Former LPL Financial LLC Broker Michael Mountjoy Suspended and Fined by FINRA

Former LPL Financial LLC Broker Michael Mountjoy Suspended and Fined by FINRA

Posted on Wednesday, August 19th, 2020 at 8:50 pm    

Erez Law is currently investigating former LPL Financial LLC broker Michael Mountjoy (CRD# 4421573) who was recently fined and suspended by FINRA. Mountjoy was registered with LPL Financial LLC in Louisville, Kentucky from 2010 to 2018, when he was terminated regarding, “Violation of Firm’s outside business activity and private securities transaction policy.” In May 2020,… Read More

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Former Merrill Lynch Broker Christopher Roumayeh Accused of Selling Away

Posted on Tuesday, June 2nd, 2020 at 3:47 pm    

Former Merrill Lynch broker Christopher Roumayeh (CRD# 4510051) was suspended for 21 months following a FINRA investigation regarding his engagement in outside business activities (selling away). Roumayeh has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Bloomfield Hills, Michigan from 2008 to 2019.  In June 2020, FINRA sanctioned Roumayeh to a $15,000… Read More

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Former The Tavenner Company Broker Dean Mings Investment Loss Options

Posted on Tuesday, June 2nd, 2020 at 2:49 pm    

Erez Law is currently investigating former The Tavenner Company broker Dean Mings (CRD# 1197212) regarding investment losses. Mings was registered with The Tavenner Company in Springfield, Ohio from 2002 to 2018, when he was terminated regarding “RR violated firm policy by (1) failing repeatedly to disclose an outside business activity (which entailed acting as trustee… Read More

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Investigation of Former LPL Financial LLC Broker Jason Labelle

Posted on Tuesday, May 5th, 2020 at 8:57 pm    

Former LPL Financial LLC broker Jason Labelle (CRD# 5654529) was suspended by FINRA for selling away from his member firm. Labelle has been registered with LPL Financial LLC in Pittsfield, Massachusetts from 2015 to 2019. Selling away is when a broker recommends a client purchase securities that are not offered by the broker’s member broker… Read More

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Barred Broker: Former Valic Financial Advisors, Inc. Broker Antonio Puente

Posted on Tuesday, April 21st, 2020 at 4:17 pm    

Former Valic Financial Advisors, Inc. broker Antonio Puente (CRD# 2695224) is barred by FINRA for selling away. Puente was registered with Valic Financial Advisors, Inc. in Miami, Florida from 1999 to 2018, when he was terminated regarding, “Registration terminated following conclusion of investigation into undisclosed outside business activity.” In January 2020, Puente was barred by… Read More

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Erez Law Files Claim Against NYLIFE Securities LLC Broker Felix Chu and Former Broker Derek Chu

Posted on Tuesday, April 14th, 2020 at 1:57 pm    

Erez Law recently filed a FINRA arbitration against NYLIFE Securities LLC and Felix Chu (CRD# 2427593) and, who was a registered representative of NYLIFE Securities LLC in Pleasant Hill, California from 1994 to March 2019. Derek Chu is Chu’s son. Derek Chu (CRD# 4683951) was registered with NYLIFE as a securities broker from December 2004… Read More

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Former Principal Securities, Inc. Broker John Krohn Faces $28 Million Customer Complaint for Investment Losses

Posted on Wednesday, February 12th, 2020 at 9:15 am    

Were you the victim of former Principal Securities, Inc. broker John Krohn (CRD# 2722975)? Krohn has been registered with Principal Securities, Inc. in West Des Moines, Iowa from 1996 to 2017.  In June 2018, Krohn was sanctioned to a $10,000 civil and administrative penalty and was suspended for free months after he consented to the… Read More

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Erez Law Investigates Former Cadaret, Grant & Co., Inc. Broker Gerald Dewes

Posted on Tuesday, February 11th, 2020 at 4:14 pm    

Were you the victim of former Cadaret, Grant & Co., Inc. broker Gerald Dewes (CRD# 2465538)? Dewes has been registered with Cadaret, Grant & Co., Inc. in East Amherst, New York from 2014 to 2019, when he was terminated regarding, “Advisor sold away from the firm by soliciting client investments into an undisclosed outside business… Read More

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Options for Customers Who Lost Money Investing with Former J.P. Morgan Securities LLC Broker John Torres

Posted on Wednesday, January 29th, 2020 at 9:32 pm    

Did you lose money investing with former J.P. Morgan Securities LLC broker John Torres (CRD# 6322231)? Torres was registered with J.P. Morgan Securities LLC in Woodland Hills, California from 2014 to 2018, when he was terminated regarding, “Terminated by affiliate bank. In the capacity of an affiliate bank employee registered rep opened an affiliate bank… Read More

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Former Summit Equities, Inc. Broker Thomas Stappas Barred by FINRA for Selling Away

Posted on Tuesday, November 19th, 2019 at 2:42 pm    

Former Summit Equities, Inc. broker Thomas Stappas (CRD# 855198) was barred by FINRA for selling away. Stappas was registered with Summit Equities, Inc. in Parsippany, New Jersey from 1993 to 2018, when he was terminated regarding, “Engaging in an outside business activity and private securities transaction without disclosing to the firm in violation of FINRA… Read More

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