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Warning to Investors: Former Salomon Whitney Financial Financial Advisor Douglas Leone Accused of Excessive Trading

Warning to Investors: Former Salomon Whitney Financial Financial Advisor Douglas Leone Accused of Excessive Trading

Posted on Saturday, June 9th, 2018 at 7:21 am    

There are options for customers of former Salomon Whitney Financial financial advisor Douglas Leone (CRD# 2453784) regarding unsuitable recommendations and excessive trading involving multiple customers. Leone was registered with Salomon Whitney Financial in Melville, New York from 2013 until March 2017. In May 2018, FINRA barred Leone after he failed to appear and provide FINRA… Read More

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Erez Law Investigates Former Wells Fargo Clearing Services, LLC Financial Advisor Richard Shotz

Posted on Wednesday, May 2nd, 2018 at 9:34 pm    

Were you the victim of former Wells Fargo Clearing Services, LLC financial advisor Richard Shotz (CRD# 1681893)? Shotz was registered with Wells Fargo Clearing Services, LLC in Daytona Beach, Florida from 2015 to March 2018 when he was terminated regarding, “Mr. Shotz was discharged after a Firm review of the issues involved in FINRA Letter… Read More

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Peachcap Financial Advisor Aaron Brodt Investment Losses

Posted on Wednesday, May 2nd, 2018 at 9:08 pm    

Were you the victim of Peachcap financial advisor Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt has been the subject of four customer complaints between 2016 and 2017, one of which… Read More

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Robert W. Baird & Co. Incorporated Financial Advisor Patrick Powell Has $2.8 Million Pending Customer Complaint

Posted on Tuesday, April 17th, 2018 at 12:07 pm    

Erez Law is currently investigating Robert W. Baird & Co. Incorporated financial advisor Patrick Powell (CRD# 1041980) regarding unsuitable investments. Powell has been registered with Robert W. Baird & Co. Incorporated in Racine, Wisconsin since 1996. Powell has been the subject of one customer complaint, according to his CRD report: November 2017. “Client of Financial… Read More

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Can I Recover Losses from UBS Financial Services Inc. Financial Advisor Mark Katz?

Posted on Monday, April 9th, 2018 at 10:01 am    

Erez Law is currently investigating UBS Financial Services Inc. financial advisor Mark Katz (CRD# 2155766) regarding unsuitable investment recommendations. Katz has been registered with UBS Financial Services Inc. in Houston, Texas since 2008. Katz has been the subject of two customer complaints between 2013 and 2018, one of which was denied, according to his CRD… Read More

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Were You a Victim of Wells Fargo Clearing Services, LLC Financial Advisor David Ridenour?

Posted on Monday, April 9th, 2018 at 9:51 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Wells Fargo Clearing Services, LLC financial advisor David Ridenour (CRD# 4941433). Ridenour has been registered with Wells Fargo Clearing Services, LLC in Edmond, Oklahoma since 2012. Ridenour has been the subject of three customer complaints between 2012 and… Read More

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Elder Abuse Alert: Former Vanderbilt Securities, LLC Financial Advisor Mark Kaplan

Posted on Monday, April 2nd, 2018 at 10:32 am    

Did you lose money investing with former Vanderbilt Securities, LLC financial advisor Mark Kaplan (CRD# 1978048)? Kaplan was registered with Vanderbilt Securities, LLC in Woodbury, New York from 2011 to 2018. Previously, he was registered with Morgan Stanley Smith Barney in New York, New York from 2009 to 2011, when he was terminated regarding, “Fa… Read More

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Erez Law Investigates Money Concepts Capital Corp. Financial Advisor Craig Sutherland

Posted on Thursday, March 29th, 2018 at 4:45 pm    

Did you lose money investing with Money Concepts Capital Corp. financial advisor Craig Sutherland (CRD# 2001873)? Sutherland has been registered with Money Concepts Capital Corp. in Columbus, Ohio since 1994. In January 2018, FINRA suspended Sutherland for 15 days and sanctioned him to $5,000 in civil and administrative penalties after he consented to the sanctions… Read More

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Investigation of McNally Financial Services Corporation Financial Advisor Marshall Cassedy Jr.

Posted on Wednesday, March 21st, 2018 at 7:33 am    

There are options for customers of McNally Financial Services Corporation financial advisor Marshall Cassedy Jr. (CRD# 853370) who suffered losses. Cassedy has been registered with McNally Financial Services Corporation in Tallahassee, Florida since 2010. In April 2010, Cassedy was terminated from Capitol Securities Management, Inc. in Tallahassee, Florida regarding, “Written customer complaints alleging the violation… Read More

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Former Allegis Investment Services, LLC Client Wins FINRA Arbitration for $404,482.41

Posted on Wednesday, March 21st, 2018 at 7:22 am    

In March 2018, a former client of Allegis Investment Services, LLC won an award in a FINRA arbitration for compensatory damages, prejudgment interest and fees for $404,482.41. The investors were clients of financial advisor Brandon Stimpson (CRD# 4299623). The former customer was awarded compensatory damages in the amount of $270,452.34, as well as $53,730.07 in… Read More

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