Unregistered securities

Did Former American Portfolios Financial Services, Inc. Financial Advisor Gary Forrest Recommend Woodbridge Group of Companies?

Posted on Saturday, August 25th, 2018 at 9:53 am    

Erez Law is currently investigating former American Portfolios Financial Services, Inc. financial advisor Gary Forrest (CRD# 1313782) regarding recommendations to invest in the Woodbridge Group of Companies. Forrest was registered with American Portfolios Financial Services, Inc. in Flint, Michigan from 2007 to November 2016. In January 2018, the state of Michigan opened up an investigation […]

Read More

Investigation of Former Meyers Associates, L.P. Financial Advisor Bruce Meyers

Posted on Saturday, August 25th, 2018 at 9:34 am    

Former Meyers Associates, L.P. financial advisor Bruce Meyers (CRD# 1045447) was barred by FINRA following allegations that he sent, or caused to be sent, misleading and unbalanced advertising materials via email to prospective investors. Meyers was registered with Meyers Associates, L.P. in New York, New York from 1994 to June 2016. FINRA expelled Meyers Associates, […]

Read More

Did Former HD Vest Investment Services Financial Advisor Jerry Raines Recommend You Invest in Woodbridge Group of Companies?

Posted on Wednesday, August 1st, 2018 at 8:41 am    

Former HD Vest Investment Services financial advisor Jerry Raines (CRD# 4578689) is alleged to recommend his client invest in Woodbridge Group of Companies. Raines was registered with HD Vest Investment Services in Kilgore, Texas from 2014 to 2017. The Woodbridge Group of Companies is a southern California luxury real estate developer that missed payments on […]

Read More

Were You a Victim of Former CP Capital Securities Financial Advisor Harold Connell?

Posted on Tuesday, July 24th, 2018 at 2:20 pm    

Erez Law is currently investigating former CP Capital Securities financial advisor Harold Connell (CRD# 1482623) regarding losses sustained through unregistered offerings. Connell was the CEO, president, principal supervisor and owner of CP Capital Securities in Miami, Florida from 2001 to April 2017. FINRA expelled the firm in July 2017. In June 2018, FINRA barred Connell […]

Read More

Erez Law Files Claim Against Former Western International Securities Financial Advisors Dawn Bennett and Bradley Mascho

Posted on Saturday, June 23rd, 2018 at 5:52 am    

Erez Law recently filed a FINRA arbitration against Western International Securities. The customers allege that Dawn Bennett (CRD #1567051) and later Bradley Mascho (CRD #2039720), who were registered representatives of Western International Securities, caused them to suffer significant losses to their irreplaceable retirement savings. The retired Pennsylvania couple was a longtime customer of Bennett, dating […]

Read More

Were You a Victim of the $1 Billion Woodbridge Group of Companies Securities Fraud?

Posted on Tuesday, December 19th, 2017 at 10:01 am    

Erez Law is currently investigating the Woodbridge Group of Companies, a southern California luxury real estate developer, regarding the sale of unregistered securities, the sale of securities by unregistered brokers and the commission of fraud in connection with the offer, purchase and sale of securities. The company missed payments on notes sold to investors and […]

Read More

Did You Invest in the InterCore’s Driver Alertness Detection System Ponzi Scheme with Former Park Avenue Securities Financial Advisor Beth Ty?

Posted on Tuesday, November 28th, 2017 at 9:52 am    

Erez Law is currently investigating former Park Avenue Securities financial advisor Lizabeth Gotuaco Ty (Beth Ty) (CRD# 4737319) regarding the sale of unregistered securities and an alleged $114 million Ponzi Scheme. Ty was registered with Park Avenue Securities in Houston, Texas from 2009 to 2015. In May 2016, Ty was permanently barred from FINRA after […]

Read More

Were You A Victim of Florida Asset Manager Steven Zoernack’s Hedge Fund Scheme?

Posted on Monday, October 9th, 2017 at 11:21 am    

Erez Law is currently investigating Sarasota, Florida asset manager Steven Zoernack regarding a hedge fund scheme involving EquityStar Capital Management LLC, the Global Partners Fund and the Momentum Growth Fund – unregistered investment funds that Zoernack created and then managed through EquityStar. EquityStar was an unregistered investment adviser for Global Partners Fund and the Momentum […]

Read More

Broker-deal Spencer Edwards, Inc. in Colorado Fined Regarding Unregistered Securities

Posted on Wednesday, September 20th, 2017 at 9:44 am    

Erez Law is currently investigating broker-deal Spencer Edwards, Inc. financial advisors regarding participating in unregistered securities. Spencer Edwards, Inc. is a broker-dealer located in Centennial, Colorado. In March 2017, FINRA fined Spencer Edwards, Inc. $707,000 and suspend them with respect to accepting for deposit or liquidating previously deposited certificated securities until an independent consultant determines […]

Read More

Did KCD Financial, Inc. Representatives Sell You WRF Distressed Residential Fund?

Posted on Tuesday, September 19th, 2017 at 9:54 am    

Erez Law is currently investigating KCD Financial, Inc. financial advisors regarding the sale of unregistered securities in WRF Distressed Residential Fund 2011, LLC. KCD Financial, Inc. is an independent broker-dealer headquartered in De Pere, Wisconsin. KCD Financial, Inc. also did business under the name Westmount Realty Finance LLC. In May 2017, the Securities and Exchange […]

Read More