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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt Accused of Selling Away

Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt Accused of Selling Away

Posted on Monday, March 22nd, 2021 at 5:17 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Atlanta, Georgia from 2016 to 2020, when he was terminated regarding, “Conduct… Read More

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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Rowad Alame Accused of Selling Away

Posted on Monday, March 15th, 2021 at 10:14 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rowad Alame (CRD# 5376696) regarding selling away. Alame was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Raleigh, North Carolina from 2016 to 2019, when he was terminated regarding, “Conduct involving completing an account-related document, signed by clients, in… Read More

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Former Cambridge Investment Research, Inc. Broker Michael Francoeur Terminated for Selling Away

Posted on Monday, March 8th, 2021 at 7:12 pm    

Former Cambridge Investment Research, Inc. broker Michael Francoeur (CRD# 5534184) was terminated for selling away. Francoeur was registered with Cambridge Investment Research, Inc. in Somersworth, New Hampshire from 2012 to 2020, when he was terminated regarding, “Registered Representative assisted client with investment not approved by the firm and communicated through unapproved email, both in violation… Read More

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Erez Law Files Multiple Claims Against Former NYLIFE Securities LLC Broker Felix Chu

Posted on Wednesday, March 3rd, 2021 at 12:00 am    

Erez Law is investigating NYLIFE Securities LLC and its former broker Felix Chu (CRD# 2427593) who allegedly solicited his client to invest in an unapproved illicit promissory note scheme.  Erez Law Files Claim on Behalf of Widow In February 2021, Erez Law filed a FINRA arbitration on behalf of a widow against Chu who allegedly… Read More

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Future Income Payments, Inc. Losses with Former ProEquities, Inc. broker David Phillips

Posted on Monday, March 1st, 2021 at 8:03 pm    

Erez Law is currently investigating former ProEquities, Inc. broker David Phillips (CRD# 3094195) regarding Future Income Playments, Inc. losses. Phillips has been registered with Moloney Securities Co., Inc. in Gilbert, Arizona from 2017 to 2018, when he was terminated regarding, “Failure to follow policies and procedures with respect to outside business activity.” Previously, Phillips was… Read More

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Morgan Stanley Broker Darryl Cohen Accused of Selling Away

Posted on Monday, March 1st, 2021 at 7:54 pm    

Erez Law is currently investigating Morgan Stanley brokers Darryl Cohen (CRD# 2786613) and Marc Cohen (CRD# 50025) regarding non-broker dealer product investment losses. The brokers are part of the Global Sports Entertainment Group at Morgan Stanley, which focuses on athletes and entertainers who are likely to have short-lived income streams. Cohen has been registered with… Read More

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North Carolina Broker Gary Hammond Barred By FINRA For Selling Away

Posted on Monday, February 8th, 2021 at 8:56 pm    

Erez Law is currently investigating broker Gary Hammond (CRD# 2660432) regarding private securities investment losses. Hammond was registered with Hornor, Townsend & Kent, Inc. in Charlotte, North Carolina from August to December 2017. Previously, Hammond was registered with MML Investors Services, LLC in Charlotte, North Carolina from March to May 2017, when he was terminated… Read More

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Former Morgan Stanley Broker Sumitro Pal Investment Loss Options

Posted on Monday, February 8th, 2021 at 8:31 pm    

There are options for clients of former Morgan Stanley broker Sumitro Pal (CRD# 4763364) who suffered investment losses. Pal has been registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2018.  Pal has been the subject of 10 customer complaints between 2009 and 2020, three of which were denied, according to his CRD report.… Read More

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Investment Loss Options for Clients of Barred Former Stifel, Nicolaus & Company, Incorporated Broker Joseph Pratt

Posted on Monday, December 14th, 2020 at 8:49 pm    

There are options for clients of barred former Stifel, Nicolaus & Company, Incorporated broker Joseph Pratt (CRD# 719416) who suffered investment losses. Pratt was registered with Stifel, Nicolaus & Company, Incorporated in Conshohocken, Pennsylvania from 2014 to 2019, when he was terminated regarding, “Discharged after signing a letter of Acceptance, Waiver, and Consent which included… Read More

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Can I Recover Losses from Citigroup Global Markets Inc. Broker Nico Sharp?

Posted on Wednesday, November 18th, 2020 at 9:33 pm    

Erez Law is currently investigating Citigroup Global Markets Inc. broker Nico Sharp (CRD# 5988268) regarding customer investment losses due to outside investments. Sharp was registered with Citigroup Global Markets Inc. in Tustin, California from 2017 to 2018. Previously, Sharp was registered with J.P. Morgan Securities LLC in Mission Viejo, California from 2015 to 2017. In… Read More

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