Unauthorized Trades

Capitol Securities Management, Inc. Financial Advisor Richard Ragold Investment Losses

Posted on Tuesday, April 30th, 2019 at 8:15 pm    

Did you lose money investing with Capitol Securities Management, Inc. financial advisor Richard Ragold (CRD# 1808168)? Ragold has been registered with Capitol Securities Management, Inc. in Florham Park, New Jersey since 2007. Ragold has been the subject of two customer complaints between 2001 and 2019, according to his CRD report: January 2019. “Client alleged that […]

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Can I Recover Losses from Hilltop Securities Inc. Financial Advisor Mark Augusta?

Posted on Thursday, March 21st, 2019 at 2:15 pm    

Erez Law is currently investigating Hilltop Securities Inc. financial advisor Mark Augusta (CRD# 1333913) regarding unsuitable and unauthorized trades. Augusta has been registered with Hilltop Securities Inc. in Del Mar, California since 2015. Augusta was previously registered with Wedbush Securities Inc. in Solana Beach, California from 2011 to 2015, but was terminated regarding, “registered representative […]

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Former Alexander Capital, L.P. Financial Advisor Michael Castillero Barred by FINRA

Posted on Saturday, March 9th, 2019 at 11:01 am    

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 […]

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Former National Securities Corporation Financial Advisor Leonard Mcabee Faces $530,000 Customer Complaint for Unauthorized Trades

Posted on Thursday, February 21st, 2019 at 7:37 am    

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., […]

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Did you Suffer Losses Due to Investments with Former Wedbush Securities Inc. Financial Advisor William Heiden?

Posted on Thursday, February 21st, 2019 at 7:17 am    

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 […]

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Former UBS Financial Services Inc. Financial Advisor William Hobby Investment Losses

Posted on Tuesday, February 12th, 2019 at 2:19 pm    

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 […]

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Attention Former Morgan Stanley Financial Advisor Justin Amaral Victims

Posted on Friday, February 1st, 2019 at 11:56 am    

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 […]

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How Investors Can Sue Former Raymond James Financial Services, Inc. Financial Advisor Ronald Rothchild

Posted on Friday, February 1st, 2019 at 11:19 am    

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 […]

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Did You Lose Money Investing with Former First Standard Financial Company LLC Financial Advisor James Schwartz?

Posted on Thursday, December 13th, 2018 at 10:44 am    

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 […]

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Investment Losses with Aegis Capital Corp. Financial Advisor Damian Mamane

Posted on Thursday, December 13th, 2018 at 9:05 am    

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 […]

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