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Former Morgan Stanley Broker Henry Chia Accused of Selling Away

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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Investigation of Independent Financial Group, LLC Broker Mark Rothstein

Posted on Monday, July 12th, 2021 at 6:31 pm    

Were you the victim of Independent Financial Group, LLC broker Mark Rothstein (CRD# 1084659)? Rothstein has been registered with Independent Financial Group, LLC in El Segundo, California since 2013. Prior to that, Rothstein was registered with Independent Financial Group, LLC in San Diego, California, Purshe Kaplan Sterling Investments in El Segundo, California, Tri-star Financial in… Read More

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Recovery Loss Options For Clients of Morgan Stanley Broker Kerry Moy

Posted on Thursday, June 24th, 2021 at 10:25 pm    

Did you lose money investing with Morgan Stanley broker Kerry Moy (CRD# 1295255)? Moy has been registered with Morgan Stanley in Los Angeles, California from 2012 to 2019, when he was terminated regarding, “Allegations regarding the representative’s submission of inaccurate information for business expenses, his submission of inaccurate and incomplete information about outside restaurant-related business… Read More

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Former Morgan Stanley Broker Candido Viyella Accused of Selling Away

Posted on Monday, June 7th, 2021 at 6:20 pm    

Erez Law is currently investigating former Morgan Stanley broker Candido Viyella (CRD# 1829255) regarding selling away. Viyella was registered with Morgan Stanley in Miami, Florida from 2009 to 2020, when he was terminated regarding, “Registered representative terminated after allegations were made accusing him of participation in an outside investment involving clients for which the registered… Read More

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Former Morgan Stanley Broker Henry Chang Investment Loss Options

Posted on Wednesday, June 2nd, 2021 at 12:12 am    

Were you the victim of former Morgan Stanley broker Henry Chang (CRD# 4049732)? Chang was registered with Morgan Stanley in Pasadena, California from 2015 to 2021. Chang has been the subject of four customer complaints between 2008 and 2021, one of which was denied, according to his CRD report. Recent complaints are regarding:  January 2021.… Read More

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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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