Unauthorized Trades

Were you the victim of former Alexander Capital, L.P. financial advisor Michael Castillero (CRD# 4583917)? Castillero was registered with Windsor Street Capital, LP in New York, New York from June to October 2017 and previously with Alexander Capital, L.P. in New York, New York from 2014 to 2017. In February 2019, FINRA barred Castillero after […]

Former National Securities Corporation financial advisor Leonard Mcabee (CRD# 2066347) accused of unauthorized trading in customer accounts. Mcabee has been registered with National Securities Corporation in Lombard, Illinois from 2011 to 2018. Previously, Mcabee was registered with Barron Chase Securities, Inc. in Boca Raton, Florida from 1997 to 2000 and with H.J. Meyers & Co., […]

Erez Law is currently investigating former Wedbush Securities Inc. financial advisor William Heiden (CRD# 2885156) regarding investment losses due to unauthorized trades. Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, FINRA named Heiden as a respondent in a complaint alleging that he “engaged in unauthorized […]

Have you suffered investment losses due to former UBS Financial Services Inc. financial advisor William Hobby (CRD# 2240076)? Hobby has been registered with UBS Financial Services Inc. in Atlanta, Georgia from 2012 to October 2018, when he was terminated regarding, “FA discharged after firm’s review found that he (i) exercised discretion in client account without […]

Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he was terminated regarding, “The allegations related to, among other issues, the employee’s status as an […]

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Raymond James Financial Services, Inc. financial advisor Ronald Rothchild (CRD# 4491932). Rothchild has been registered with National Securities Corporation in Melville, New York since August 2017. Rothchild was previously registered with Raymond James Financial Services, Inc. in […]

Erez Law is currently investigating former First Standard Financial Company LLC financial advisor James Schwartz (CRD# 3043085) regarding churning and unsuitable investment recommendations. Most recently, Schwartz was registered with Joseph Gunnar & Co. LLC in New York, New York from December 2016 to February 2017. Previously, Schwartz was registered with First Standard Financial Company LLC […]

Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 and 2017, one of which was withdrawn, according to his CRD report: June 2017. “Time […]

J.P. Morgan Securities LLC financial advisor Justin Lopez (CRD# 5162263) is accused of excessive trading and unsuitable and unauthorized trades. Lopez has been registered with J.P. Morgan Securities LLC in Mineola, New York since 2016. Lopez has been the subject of two customer complaints between 2017 and 2018, according to his CRD report: July 2018. […]

Were you the victim of New York financial advisor Joseph Ambrosole (CRD# 5732488)? Ambrosole has been registered with Joseph Stone Capital L.L.C. in New York, New York since January 2017. Previously, Ambrosole was registered with the following firms: Alexander Capital, L.P. in New York, New York (07/31/2017 – 11/06/2017) Meyers Associates, L.P. in New York, […]