Structured Product

Erez Law is currently investigating Centaurus Financial, Inc. broker David Crane (CRD# 1334510) regarding unsuitable structured product investments. Crane has been registered with Centaurus Financial, Inc. in Dacula, Georgia since December 2018. Previously, Crane was registered with Questar Capital Corporation in Dacula, Georgia from 2006 to 2018. According to public records, Centaurus Financial, Inc. is […]

Erez Law recently filed a FINRA arbitration against Aegis Capital Corp. Their customer alleges that she suffered losses due to recommendations by her broker Alan Appelbaum (CRD# 500336), who has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2015. The Erez Law client alleges the following in the newly filed FINRA claim: […]

In September 2019, the state of Colorado charged Centaurus Financial Inc. with potential securities-related violations due to failure to supervise the sale of structured certificates by broker Cindy Chiellini (CRD# 1015592) formerly licensed in Colorado and her supervisor Ricky Mantei (CRD# 1098981), who was not licensed in Colorado. Centaurus placed Chiellini under heightened supervision because […]

Erez Law is currently investigating brokers at brokerage firms across the country who recommended their clients invest in steepeners. Steepeners are a type of structured product. Structured products are complex securities derived from or based on a single security or index, basket of securities or indices, a debt issuance, a commodity and/or a foreign currency. […]

In May 2019, Erez Law filed a FINRA another arbitration against Centaurus Financial, Inc. related to investments with Ricky Mantei (CRD# 1098981), Cindy Chiellini (CRD# 1015592), Katherine Nishnic (CRD# 2499553), and Dana Matthew Hawkins (CRD# 5731136) who were registered representatives of Centaurus Financial, Inc. in Lexington, South Carolina. According to the claim filed by Erez […]

Erez Law is currently investigating UBS Financial Services Inc. financial advisors across the country who recommended their clients invest in UBS structured notes or GOAL Yield products. Structured products are complex securities derived from or based on a single security or index, basket of securities or indices, a debt issuance, a commodity and/or a foreign […]

Erez Law is currently investigating Wells Fargo financial advisor Allen Wilson (CRD# 2420229) regarding structured product losses. Wilson has been registered with Wells Fargo Clearing Services, LLC in Florham Park, New Jersey since 2012. According to public records, a former client of Wilson alleges her financial advisor mismanaged her retirement savings and recommended an investment […]

In May 2019, Erez Law filed another FINRA arbitration against Centaurus Financial, Inc. related to investments with Ricky Mantei (CRD# 1098981), Cindy Chiellini (CRD# 1015592) and Katherine Nishnic (CRD# 2499553), who were registered representatives of Centaurus Financial, Inc. in Lexington, South Carolina. According to the claim filed by Erez Law, the clients are a married […]

Erez Law recently filed a $1 million-plus FINRA arbitration against Centaurus Financial, Inc. and J.P. Turner & Company, Llc for losses on behalf of an elderly married couple and grown children who suffered significant losses in their investment accounts due to recommendations of unsuitable structured notes. The customers were clients of Ricky Mantei (CRD# 1098981) […]

Centaurus Financial, Inc. financial advisor Dana Hawkins (CRD# 5731136) is alleged to recommend unsuitable structured notes. Hawkins worked alongside Ricky Mantei (CRD# 1098981) and Cindy Chiellini (CRD# 1015592), who were all registered representatives of Centaurus Financial, Inc. in Lexington, South Carolina. Hawkins has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. […]