Selling Away

Investor Alert: Investors Capital Corp. Financial Advisor Nina Jessee

Posted on Monday, November 26th, 2018 at 9:54 am    

Have you experienced investment losses due to recommendations by Investors Capital Corp. financial advisor Nina Jessee (CRD# 1484808)? Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for not disclosing outside business activity (oba) prior to engaging.” Previously, Jessee was […]

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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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Have You Suffered Investment Losses with Former Merrill Lynch, Pierce, Fenner & Smith Financial Advisor Frank Zito?

Posted on Thursday, October 25th, 2018 at 10:49 am    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith financial advisor Frank Zito (CRD# 2766336) regarding selling away, which is selling investments outside of the firm’s supervision. Zito has been registered with Coker & Palmer in Jackson, Mississippi since August 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith […]

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Barred Broker Ernest Romer II Charged by SEC with Defrauding Customer out of $2.7 Million

Posted on Thursday, October 18th, 2018 at 8:25 am    

Former Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) is alleged to defraud at least 30 customers out of $2.7 million. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January 2017 when he was terminated regarding, “Failure to report outside business activity and violations of firm […]

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Former Madison Avenue Securities, LLC Financial Advisor David Barber Barred by FINRA

Posted on Saturday, September 22nd, 2018 at 9:41 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Madison Avenue Securities, LLC financial advisor David Barber (CRD# 1165082). Barber was registered with Madison Avenue Securities, LLC in San Diego, California from March 2015 to January 2018. Previously, he was registered with First Midwest Securities, Inc. […]

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Were You the Victim of Losses Due to Investments with Aaron Parthemer?

Posted on Monday, August 27th, 2018 at 1:48 pm    

Barred former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) accused of participating in outside business activities related to investments in a Miami nightclub. This is also referred to as selling away or selling investments outside of the firm’s supervision. The Florida broker is known to socialize with celebrity clients in the National Football League […]

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Geneos Wealth Management, Inc. Financial Advisor Bradley Tennison Accused of Selling Investments Away from Firm

Posted on Monday, August 13th, 2018 at 2:27 pm    

There are options for customers of Geneos Wealth Management, Inc. financial advisor Bradley Tennison (CRD# 1561988) who is alleged to engage in selling an investment away from his firm. Tennison was registered with Geneos Wealth Management, Inc. in Mesa, Arizona from 2005 to 2018, when he was terminated regarding, “The firm received a written complaint […]

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Barred Broker: Former Summit Brokerage Services, Inc. Financial Advisor Larry Werbel

Posted on Wednesday, August 1st, 2018 at 8:18 am    

Erez Law is currently investigating former Summit Brokerage Services, Inc. financial advisor Larry Werbel (CRD# 828351) regarding selling away and unsuitable investment recommendations. Werbel has been registered with Concorde Investment Services, LLC in Chagrin Falls, Ohio from April 2015 to January 2016, when he was terminated regarding, “Discharged after internal review initiated upon learning Rep […]

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Were You a Victim of Former Paulson Investment Company LLC Financial Advisor Ahmed Gheith?

Posted on Wednesday, July 18th, 2018 at 4:17 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Paulson Investment Company LLC financial advisor Ahmed Gheith (CRD# 5783951) who is alleged to engage in selling away private investments from his former employer. Gheith was registered with the following brokerage firms during the past few years: […]

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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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