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Options for Clients of Former First Allied Securities, Inc. Broker David Kennon

Options for Clients of Former First Allied Securities, Inc. Broker David Kennon

Posted on Thursday, December 16th, 2021 at 1:41 am    

Erez Law is currently investigating former , Inc. broker David Kennon (CRD# 4459476) regarding suitability concerns. David Kennon was registered with First Allied Securities, Inc. in Sarasota, Florida from 2012 to 2019. David Kennon Accused of Unsuitable Investment Recommendations David Kennon has been the subject of three customer complaints between 2018 and 2021, according to… Read More

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Former Woodstock Financial Group, Inc. Broker Blake Kiernan Investment Loss Options

Posted on Thursday, December 16th, 2021 at 1:26 am    

Were you the victim of former Woodstock Financial Group, Inc. broker Blake Kiernan (CRD# 4477243)?. Blake Kiernan was registered with Four Points Capital Partners LLC in Melville, New York from 2013 to 2014. Previously, Blake Kiernan was registered with Woodstock Financial Group, Inc. in Garden City, New York from 2008 to 2013. In August 2020,… Read More

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Jefferies LLC Broker Ariel Rivero Investment Loss Options

Posted on Wednesday, December 15th, 2021 at 7:10 pm    

Were you the victim of Jefferies LLC broker Ariel Rivero (CRD# 4236679)? Ariel Rivero has been registered with Jefferies LLC in Miami, Florida and with Leucadia Asset Management LLC in Miami, Florida since 2016. Ariel Rivero Faces Suitability Complaint Ariel Rivero has been the subject of one customer complaint, according to his CRD report: September… Read More

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How to Bring a Claim Against Moloney Securities Co., Inc. Broker Edward Balmes

Posted on Monday, October 5th, 2020 at 5:46 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Moloney Securities Co., Inc. broker Edward Balmes (CRD# 2110152). Balmes has been registered with Moloney Securities Co., Inc. in Chesterfield, Missouri since 2008.  Balmes has been the subject of two customer complaints between 2019 and 2020, one of… Read More

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Did You Lose Money Investing with Investors Capital Corp. Broker Nina Jessee?

Posted on Wednesday, July 17th, 2019 at 8:24 am    

Investors Capital Corp. broker Nina Jessee (CRD# 1484808) is alleged to make unsuitable investment recommendations. Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for not disclosing outside business activity (oba) prior to engaging.” Previously, Jessee was registered with Investors… Read More

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First Standard Financial Company LLC Broker Debra Bourne Accused of Excessive Trading

Posted on Tuesday, July 16th, 2019 at 8:43 pm    

Were you the victim of excessive trading with former First Standard Financial Company LLC broker Debra Bourne (CRD# 1352344)? Bourne was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to May 2019, and previously with National Securities Corporation in Red Bank, New Jersey from 2014 to 2016. Bourne has… Read More

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Former First Standard Financial Company LLC Broker William Gennity Barred by SEC and FINRA

Posted on Tuesday, June 25th, 2019 at 8:20 pm    

Former First Standard Financial Company LLC broker William Gennity (CRD# 4913490) was barred by FINRA and the Securities and Exchange Commission (SEC) for churning customer accounts and making unsuitable investment recommendations. Gennity was registered with First Standard Financial Company LLC in Staten Island, New York from 2014 to 2018. Previously, he was registered with Alexander… Read More

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Centaurus Financial, Inc. Financial Advisor Cindy Facin Has Six Pending Customer Complaints for Unsuitable Investments

Posted on Thursday, October 25th, 2018 at 11:00 am    

Erez Law is currently investigating Centaurus Financial, Inc. financial advisor Cindy Facin (CRD# 1015592) regarding inappropriate and unsuitable investment recommendations. Facin has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Facin has been the subject of six customer complaints between 2016 and 2018, according to his CRD report: September 2018. “Customers… Read More

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Ameriprise Financial Services, Inc. Financial Advisor Michael Pepe Investment Losses

Posted on Tuesday, October 9th, 2018 at 4:35 pm    

Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, LLC in Tampa, Florida from 2010 to 2015. Pepe has been the subject of six… Read More

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Did You Lose Money with Former Kovack Securities Inc. Financial Advisor Curtis Milakovich?

Posted on Saturday, September 22nd, 2018 at 10:23 am    

There are options for customers of former Kovack Securities Inc. financial advisor Curtis Milakovich (CRD# 5471527) who is alleged to engage in churning, unsuitable recommendations, unsuitable investment strategy, failure to supervise, and permitting an unregistered advisor to control. Milakovich was registered with Kovack Securities Inc. in Naples, Florida from 2011 to 2013, when he was… Read More

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