Unsuitability

Erez Law Investigates New York Financial Advisor Stephen Sullivan for Unsuitable Investment Recommendations

Posted on Monday, August 13th, 2018 at 3:19 pm    

Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. Previously, Sullivan was registered with the following brokerage firm during the past four years: Worden […]

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Did You Lose Money Investing with Former Edward Jones Financial Advisor John Maloney III?

Posted on Monday, August 13th, 2018 at 3:11 pm    

Erez Law is currently investigating former Edward Jones financial advisor John Maloney III (CRD# 726108) regarding customer investment losses. Maloney has been registered with Woodbury Financial Services, Inc. in Morristown, Tennessee since June 2016. Previously, he was registered with Edward Jones in Morristown, Tennessee from 1981 to June 2016 when he was terminated regarding, “Mr. […]

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Temenos Advisory, Inc. Principal Charged with Fraud for $19 Million Investor Scheme

Posted on Monday, August 13th, 2018 at 2:39 pm    

Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since 1998. In July 2018, The Securities and Exchange Commission (SEC) charged the Connecticut-based investment adviser […]

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How to Bring a Claim Against Joseph Stone Capital L.L.C. Financial Advisor Erik Pica

Posted on Monday, August 13th, 2018 at 2:15 pm    

Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was registered with Global Arena Capital Corp. in New York, New York from 2012 to 2015. […]

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Erez Law Investigates Former National Securities Corporation Financial Advisor James Mariani

Posted on Monday, August 13th, 2018 at 1:34 pm    

Did you lose money investing with former National Securities Corporation financial advisor James Mariani (CRD# 2932631)? Mariani has been registered with Aegis Capital Corp. in Bayside, New York since September 2017. Previously, he was registered with National Securities Corporation in Mineola, New York from 2007 to 2017. In May 2005, NASD suspended and fined Mariani […]

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Can I Recover Losses from Dawson James Securities, Inc. financial advisor Thomas Curtis?

Posted on Tuesday, July 24th, 2018 at 2:03 pm    

There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008. Curtis has been the subject of six customer complaints between 1996 and 2017, two of which were denied and one was […]

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SEC Fines Alexander Capital LP $798,537 and Charges with Failure to Supervise Brokers

Posted on Wednesday, July 11th, 2018 at 8:09 am    

In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and Laurence Torres (CRD# 2821373), who made unsuitable recommendations to investors, “churned” accounts, and made unauthorized […]

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Seniors Beware! Former Independent Financial Group, LLC Financial Advisor Kyusun Kim

Posted on Wednesday, July 11th, 2018 at 7:58 am    

Were you the victim of former Independent Financial Group, LLC financial advisor Kyusun Kim (CRD# 2864085) who is alleged to make unsuitable investment recommendations to senior customers? Kim was registered with Sandlapper Securities, LLC in San Diego, California from 2016 to 2017. Previously, Kim was registered with Independent Financial Group, LLC in San Diego, California […]

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Woodbury Financial Services, Inc. Ordered to Pay 1.091 Million for Failure to Supervise Former Broker Robert Hoffmann

Posted on Wednesday, July 11th, 2018 at 7:16 am    

In June 2018, FINRA ordered Woodbury Financial Services, Inc. to pay the total sum of $1,091,575.21, which is comprised of $970,107.21 in compensatory damages and $121,468.00 in pre-judgment interest to two clients as a result of the firm’s failure to supervise former broker Robert Hoffmann (CRD# 4008798). The causes of action included breach of fiduciary […]

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Investigation of Former First Allied Securities, Inc. Financial Advisor Sean Brady

Posted on Wednesday, July 11th, 2018 at 6:31 am    

There are options for customers of former First Allied Securities, Inc. financial advisor Sean Brady (CRD# 4365173) who suffered losses due to unsuitable recommendations and material misrepresentations and omissions. Brady was registered with First Allied Securities, Inc. in St. Louis, Missouri from 2008 to November 2017, when he was terminated regarding, “RR violated the firm’s […]

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