Structured Product

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. […]

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Herbert J. Sims & Co. Inc. financial advisor Larry Wolfe (CRD# 502361) regarding over concentrating customer portfolios in structured notes and junk bonds. Wolfe was registered with Stoever, Glass & Company Inc. in Boca Raton, Florida from […]

Erez Law recently filed a $500,000 FINRA arbitration against Invex, LLC. The former Invex, LLC customers allege that the Miami, Florida-based firm recommended a speculative and unsuitable strategy of concentrating the elderly couple’s portfolio in three high risk, complex and illiquid structured products known as “reverse convertibles,” as well as in high risk and unsuitable […]

Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Todd Ellentuck (CRD# 1321452) regarding excessive fees and commissions, unauthorized trades in Puerto Rico bonds, overconcentrated investments in MLPs, unsuitable structured products, and losses tied to the high risk oil and gas sector. Ellentuck has been registered with Aegis Capital Corp. in Morristown, […]

Erez Law is currently investigating Morgan Stanley financial advisor Anthony Mampieri (CRD# 1653703) regarding investment recommends in structured notes. Mampieri has been registered with Morgan Stanley in Columbus, Ohio since 2010. A structured note is a debt obligation that tracks both the underlying debt obligation and the derivative embedded within it. Structured notes increase the […]