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Former SCF Securities, Inc. Broker Murray Petersen Investment Loss Options

Former SCF Securities, Inc. Broker Murray Petersen Investment Loss Options

Posted on Monday, October 18th, 2021 at 6:57 pm    

Were you the victim of former SCF Securities, Inc. broker Murray Petersen (CRD# 1311730)? Petersen has been registered with Ameriprise Financial Services, LLC in Roseville, California from 2019 to 2020 and with SCF Securities, Inc. in Roseville, California from 2015 to 2019, when he was terminated regarding, “Advisor misstated and/or omitted material facts and circumstances… Read More

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NYLIFE Securities LLC Broker Narith Long Accused of Selling Away

Posted on Monday, October 18th, 2021 at 6:28 pm    

Erez Law is currently investigating former NYLIFE Securities LLC broker Narith Long (CRD# 6598152) regarding opening brokerage accounts at outside broker-dealers, also known as selling away, which allowed Long to make discretionary trades without the customer’s consent. Long was registered with NYLIFE Securities LLC in Glendale, California from December 2019 to December 2020, when he… Read More

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Erez Law Investigates Barred LPL Financial LLC Broker Eric Hollifield

Posted on Monday, October 18th, 2021 at 6:16 pm    

There are options for customers of LPL Financial LLC broker Eric Hollifield (CRD# 3091319)? Hollifield was registered with LPL Financial LLC in Dacula, Georgia from 2016 to 2021, when he was terminated regarding, “Failed to disclose outside business activity to Firm.” Previously, Hollifield was registered with Sterne Agee Financial Services, Inc. in Dacula, Georgia from… Read More

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Wells Fargo Clearing Services, LLC Broker Jeremy Fortner Accused of Selling Away

Posted on Monday, October 4th, 2021 at 11:55 pm    

Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014.  Selling away is when a U.S. based broker sells an investment to a client without… Read More

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Investment Loss Options for Clients of Former PFS Investments Inc. Broker Perry Leeuw

Posted on Monday, October 4th, 2021 at 11:32 pm    

Were you the victim of former PFS Investments Inc. broker Perry Leeuw (CRD# 4792703)? Leeuw has been registered with PFS Investments Inc. in Duluth, Georgia from 2004 to 2016, when he was terminated regarding “Information Indicated That Agent Was Engaged In An Unapproved Outside Business Activity And The Agent Failed To Adequately Cooperate During A… Read More

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Warning to Investors: Former Wells Fargo Clearing Services, LLC Broker Adam Summers Investment Losses

Posted on Monday, September 20th, 2021 at 9:06 pm    

Can I recover losses from investments with former Wells Fargo Clearing Services, LLC broker Adam Summers (CRD# 5587343)? Summers was registered with Lasalle St Securities, L.L.C. in Frankfort, Illinois from January to June 2021. Summers was registered with Stifel, Nicolaus & Company, Incorporated in Crown Point, Indiana in December 2020, when he was terminated regarding… Read More

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How to Bring a Claim Against Former Royal Alliance Associates, Inc. Broker John Swon IV

Posted on Monday, September 13th, 2021 at 9:21 pm    

Can I recover losses from investments with former Royal Alliance Associates, Inc. broker John Swon IV (CRD# 5591686)? Swon was registered with Royal Alliance Associates, Inc. (Focus Financial) in Bloomington, Minnesota from 2012 to 2021, when he was terminated regarding “the representative violated the firm’s policies regarding disclosure and approval of outside business activities.”  In… Read More

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Former Securities America, Inc. Broker David Zuber Investment Loss Options

Posted on Monday, September 13th, 2021 at 9:15 pm    

Were you the victim of former Securities America, Inc. broker David Zuber (CRD# 3239595)? Zuber was registered with Securities America, Inc. in Lavista, Nebraska from 2011 to 2020, when he was terminated regarding, “Allegations that representative was involved in the offer of private securities investments not approved by the firm.” In April 2021, FINRA barred… Read More

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Investor Alert: Losses Due to Investments with Former Kestra Advisory Services, LLC Broker Clyde Ford

Posted on Monday, August 23rd, 2021 at 3:00 pm    

Were you the victim of former Kestra Advisory Services, LLC broker Clyde Ford (CRD# 4700006)? Ford has been registered with Founders Financial Securities LLC in Fresno, California since 2019. Previously, Ford was registered with Kestra Advisory Services, LLC in Fresno, California from 2016 to 2019 when he was terminated regarding “Mr. Ford failed to notify… Read More

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Former Morgan Stanley Broker Henry Chia Accused of Selling Away

Posted on Monday, July 19th, 2021 at 7:07 pm    

Erez Law is currently investigating former Morgan Stanley broker Henry Chia (CRD# 4049732) regarding selling away. Chia has been registered with Laidlaw & Company (Uk) Ltd. in Pasadena, California since March 2021. Previously, Chia was registered with Morgan Stanley in Pasadena, California from 2015 to 2021, when he was terminated regarding, “Allegations about whether the… Read More

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