Unauthorized Trades

There are options for customers of former J.P. Morgan Securities LLC broker Eric Silvestre (CRD# 3171573) who suffered investment losses. Silvestre has been registered with Western International Securities, Inc. in Santa Monica, California since September 2019. Previously, Silvestre was registered with J.P. Morgan Securities LLC in Santa Monica, California from 2012 to 2019, when he […]

There are options for customers of Dawson James Securities, Inc. broker Danilo Fuentes (CRD# 2596044) who suffered investment losses. Fuentes has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2007. Fuentes has been the subject of nine customer complaints between 1999 and 2018, according to his CRD report. Recent complaints are regarding: […]

There are options for customers of former Aegis Capital Corp. broker Pratul Agnihotri (CRD# 4031797) who suffered investments losses. Agnihotri has been registered with SW Financial in Melville, New York since July 2019. Previously, Agnihotri was registered with Spartan Capital Securities, LLC in New York, New York from 2017 to 2019 and previously with Aegis […]

Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to May 2017. Previously, he was registered with Woodbury Financial Services, Inc. in Greenwood, Indiana from […]

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Geneos Wealth Management, Inc. broker Randolph Eddlemon III (CRD# 2285234). Eddlemon has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona from 2005 to 2017, when he was terminated regarding, “Inappropriate and unauthorized use of client […]

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 […]