Unauthorized Trades

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 Mamane has been the subject of two customer complaints between 2013 and 2017, one of which was withdrawn, according to his CRD report: June 2017.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, […]

Erez Law is currently investigating former Raymond James Financial Services financial advisor Steve Reznik (CRD# 1067199) regarding recommendations and/or unauthorized purchases of risky biotech stocks such as: Achaogen, Acadia Pharmaceuticals, Celgene, Clovis, Gilead Sciences, and Ziopharm Oncology. Erez Law is also investigating Reznik’s involvement of unauthorized trading and over concentration in biotechnology sector. Reznik has […]

Former Independent Financial Group, LLC financial advisor Jon Pariser (CRD# 2755015) was barred by FINRA regarding unauthorized and discretionary trades in customer accounts. Pariser was registered with Independent Financial Group, LLC in Pacific Grove, California from 2014 to May 2018. Previously, he was registered with SWS Financial Services, Inc. in Pacific Grove, California from 2013 […]

Were you the victim of former Raymond James & Associates, Inc. financial advisor James Lyons (CRD# 1020397)? Lyons has been registered with Raymond James & Associates, Inc. in Shreveport, Louisiana from 2013 to May 2017, when he was terminated regarding, “Financial Advisor was terminated due to customer allegation of unauthorized trading.” In June 2018, FINRA […]

Benjamin & Jerold Brokerage I, LLC financial advisor Juergen Weber (CRD# 2617323) was recently barred by FINRA for unsuitable recommendations and unauthorized trades. Weber was registered with Benjamin & Jerold Brokerage I, LLC in New York, New York from 2011 to July 2018, when he was terminated for allegedly making unsuitable recommendations and executing unauthorized […]

Merrill Lynch financial advisor Christopher Hibbard (CRD# 3176484) has eight pending customer complaints for misappropriation of funds, unauthorized transactions and theft. Hibbard has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Louisville, Kentucky from 2010 to January 2018 when he was terminated regarding, “Conduct including unauthorized transactions and theft.” In May 2018, […]

First Standard Financial Company LLC financial advisor Roy Failla (CRD# 2786551) is accused of unauthorized trading and unsuitable investments. Failla has been registered with First Standard Financial Company LLC in Red Bank, New Jersey since 2014. Failla has been the subject of three customer complaints between 2010 and 2018, according to his CRD report. The […]