Unsuitable Investments

Were you the Victim of Peachcap Securities, Inc. Broker David Miller?

Posted on Monday, March 30th, 2020 at 8:28 pm    

Did you lose money investing with Peachcap Securities, Inc. broker David Miller (CRD# 4648882)? Miller has been registered with Peachcap Securities, Inc. in Atlanta, Georgia since 2015. Miller has been the subject of 12 customer complaints between 2018 and 2020, one of which was denied, according to his CRD report: February 2020. “Customer alleges sales […]

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Investigation of Barred Broker Joseph Thurnherr

Posted on Monday, March 30th, 2020 at 10:04 am    

Erez Law is currently investigating barred broker Joseph Thurnherr (CRD# 5045624) regarding unsuitable investment recommendations. Thurnherr was registered with Wynston Hill Capital, LLC in New York, New York from 2018 to 2019. Previously, Thurnherr was registered with Spartan Capital Securities, LLC in New York, New York from 2017 to 2018 and previously with Windsor Street […]

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Morgan Stanley Broker Francis Aurino Recovery Loss Options

Posted on Wednesday, March 18th, 2020 at 3:01 pm    

Were you the victim of Morgan Stanley broker Francis Aurino (CRD# 1754375)? Aurino has been registered with Morgan Stanley in Beverly Hills, California since 2009. Aurino has been the subject of four customer complaints between 2002 and 2019, three of which were denied, according to his CRD report: October 2019. “Claimants allege, inter alia, inter […]

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Fraud Alert: Cabot Lodge Securities LLC Broker Robert Tweed

Posted on Wednesday, March 18th, 2020 at 2:41 pm    

Erez Law is currently investigating Cabot Lodge Securities LLC broker Robert Tweed (CRD# 2339324) regarding fraud charges related to an investment fund, Athenian Fund, L.P. Tweed was registered with Cabot Lodge Securities LLC in San Marino, California from 2015 to December 2019. Previously, he was registered with: Concorde Investment Services, LLC in San Marino, California […]

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How to Bring a Claim Against Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Jacquin Fink

Posted on Monday, March 9th, 2020 at 9:35 pm    

Did you lose money investing with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jacquin Fink (CRD# 207807)? Fink has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York from 1978 to 2020. Fink has been the subject of 10 customer complaints between 1994 and 2019, according to […]

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Former First Standard Financial Company LLC Broker Philip Sparacino Investment Loss Options

Posted on Monday, March 9th, 2020 at 9:17 pm    

Were you the victim of former First Standard Financial Company LLC broker Philip Sparacino (CRD# 3243960)? Sparacino was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2014 to 2019, when he was terminated regarding, “State of NJ revocation order.” In November 2019, FINRA barred Sparacino after he, “consented to the […]

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SEC Orders Wells Fargo to Pay $35 Million for ETF Investment Recommendation Practices

Posted on Tuesday, March 3rd, 2020 at 10:24 am    

In February 2020, the Securities and Exchange Commission (SEC) ordered Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network to pay $35 million for harm to investors, related to charges that Wells Fargo failed to reasonably supervise investment advisers and registered representatives who recommended single-inverse exchange-traded funds (EFTs) investments to investors to ensure the […]

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Former Western International Securities, Inc. Broker Clement Chichester Recovery Loss Options

Posted on Tuesday, March 3rd, 2020 at 10:19 am    

Erez Law is currently investigating former Western International Securities, Inc. broker Clement Chichester (CRD# 1255275) regarding unsuitable investment recommendations. Chichester was with Western International Securities, Inc. in Westlake Village, California from 2012 to 2017, when he was terminated regarding, “Accepted FINRA AWC for failure to respond.” In October 2017, FINRA barred Chichester after he, “consented […]

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Options for Clients Who Suffered Investment Losses with New York Broker Travis Lippmann

Posted on Tuesday, March 3rd, 2020 at 9:52 am    

Erez Law is currently investigating New York broker Travis Lippmann (CRD# 5908823) for investment losses. Lippmann has been registered with Joseph Stone Capital L.L.C. in New York, New York since April 2019. Previously, Lippmann was registered with Newbridge Securities Corporation in New York, New York from 2017 to 2019 and prior to that with Maxim […]

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Former VSR Financial Services, Inc. and Summit Brokerage Services Inc. Broker Robert Burns Accused of Recommending Unsuitable Alternative Products

Posted on Tuesday, March 3rd, 2020 at 9:42 am    

Erez Law is currently investigating former VSR Financial Services, Inc. and Summit Brokerage Services Inc. broker Robert Burns (CRD# 4066393) regarding unsuitable investment recommendations in alternative products. Burns has been registered with Cetera Advisor Networks LLC in Greenwood Village, Colorado since September 2019. Previously, Burns was registered with Summit Brokerage Services, Inc. in Greenwood Village, […]

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