Unauthorized Trades

Erez Law is currently investigating Paulson Investment Company LLC financial advisor Michael Nixon (CRD# 2169631) regarding investment losses. Nixon has been registered with Paulson Investment Company LLC in Tampa, Florida since 2015. In September 2019, Nixon was sanctioned to a $5,000 civil and administrative penalty and fine and was suspended by FINRA for 15 days […]

Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Steven Yellen (CRD# 1281663) regarding unauthorized trading. Yellen was registered with Ameriprise Financial Services, Inc. in El Paso, Texas from 2016 to 2018, when he was terminated regarding, “Registered representative was discharged for violations of company policy related to outside business activities and options […]

Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Stephen Kelbick (CRD# 1429133) regarding discretionary trading in customer accounts. Kelbick was registered with Wells Fargo Clearing Services, LLC in Villanova, Pennsylvania from 2013 to 2017, when he was terminated regarding, “Discharged for entering certain trades without first speaking with clients about the […]

Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding unauthorized trading in customer accounts. Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California from 2010 to 2018, when he was terminated regarding, “unacceptable practices by the representative relating to the timing and size of orders […]

Were you the victim of former Raymond James & Associates, Inc. broker John Wyshak (CRD# 1272260)? Wyshak was registered with Raymond James & Associates, Inc. in Los Angeles, California from 2014 to 2018 and previously with Wedbush Securities Inc. in Los Angeles, California from 2002 to 2014. Wyshak was registered with seven other brokerage firms […]

Erez Law is currently investigating former J.P. Morgan Securities LLC broker Barry Snyder (CRD# 2385901) regarding excessive and unauthorized trades. Snyder has been registered with Snowden Account Services LLC in Coral Gables, Florida since September 2019. Previously, Snyder was registered with Lampost Capital, L.C. in Boca Raton, Florida from August 2018 to September 2019 and […]

Erez Law is currently investigating Maryland broker Charles Laubach (CRD# 1097453) for investment losses. Laubach has been registered with Capital Portfolio Management, Inc. in Timonium, Maryland from 2016 to August 2019, when he was terminated regarding, “Failure to follow heightened supervision. Suspension for implied discretion in customer accounts.” Previously, Laubach was registered with Chapin, Davis […]

Erez Law is currently investigating former UBS Financial Services Inc. broker Ricardo Turlan (CRD# 4431836) regarding exercising discretion in customer accounts. Turlan has been registered with UBS Financial Services Inc. in San Antonio, Texas from 2015 to 2019, when he was terminated regarding, “FA was discharged after a Firm investigation determined (1) that he exercised […]

Did you suffer investment losses due to recommendations by Wells Fargo Clearing Services, LLC broker Richard Bernstein (CRD# 1113777)? Bernstein has been registered with Wells Fargo Clearing Services, LLC in Incline Village, Nevada since 2015. Bernstein has been the subject of eight customer complaints between 1992 and 2019, one of which was denied and one […]

Erez Law is currently investigating former Laidlaw & Company (Uk) Ltd. broker Steven Woods (CRD# 5715598) regarding unauthorized and unsuitable trades. Woods has been registered with Worden Capital Management LLC in New York, New York since July 2017. Previously, Woods was registered with Laidlaw & Company (Uk) Ltd. in New York New York from 2013 […]