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Former Park Avenue Securities LLC Broker Nicholas Palumbo Accused of Selling Away

Former Park Avenue Securities LLC Broker Nicholas Palumbo Accused of Selling Away

Posted on Monday, December 14th, 2020 at 9:24 pm    

Erez Law is currently investigating former Park Avenue Securities LLC broker Nicholas Palumbo (CRD# 1069948) who is accused of selling away. Palumbo was registered with Park Avenue Securities LLC in Armonk, New York from 1999 to 2020. Palumbo was terminated regarding, “The RR was permitted to resign while under investigation for failure to disclose an… 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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How to Bring a Claim Against Former Pruco Securities, LLC Broker Julian Piekarczyk

Posted on Monday, November 9th, 2020 at 11:31 pm    

Were you the victim of former Pruco Securities, LLC broker Julian Piekarczyk (CRD# 1128773)? Piekarczyk was registered with Pruco Securities, LLC in Joliet, Illinois from 1991 to 2018, when he was terminated regarding, “Registered Representative maintained joint control of a customer’s outside bank account, without firm approval, and, upon the death of the customer, who… Read More

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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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