Unsuitable Investments

Former O.N. Equity Sales Company Financial Advisor Richard Wesselt Investment Losses

Posted on Saturday, March 16th, 2019 at 11:58 am    

Have you suffered investment losses with former O.N. Equity Sales Company financial advisor Richard Wesselt (CRD# 2195569)? Wesselt has been registered with Fortune Financial Services, Inc. in Collegeville, Pennsylvania since September 2017. Previously, Wesselt was registered with the O.N. Equity Sales Company in Collegeville, Pennsylvania from 2014 to 2017. In 1997, Wesselt was terminated from […]

Read More

How to Bring a Claim Against Former Credit Suisse Financial Advisor Lily Pirouzian

Posted on Saturday, March 16th, 2019 at 10:44 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Credit Suisse financial advisor Lily Pirouzian (CRD# 5119248). Pirouzian has been registered with HSBC Securities (Usa) Inc. in New York, New York since May 2016. Previously, Pirouzian was registered with Credit Suisse Securities (Usa) LLC in New […]

Read More

Unsuitable Investment Recommendations with Former Morgan Stanley Financial Advisor Stewart Malloy

Posted on Saturday, March 16th, 2019 at 10:24 am    

Erez Law is currently investigating former Morgan Stanley financial advisor Stewart Malloy (CRD# 1029931) regarding unsuitable investment recommendations. Malloy was registered with Morgan Stanley in Riverhead, New York from 2009 to 2015. In January 2019, FINRA barred Malloy after he failed to appear and provide FINRA with requested on-the-record testimony in connection with reported allegations […]

Read More

Warning to Investors: Former Merrill Lynch Financial Advisor D Membla

Posted on Saturday, March 9th, 2019 at 12:21 pm    

Former Merrill Lynch financial advisor D Membla (CRD# 4357042) is accused of excessive trading and unsuitable investment recommendations. Membla was registered with Merrill Lynch in Chicago, Illinois from 2001 to 2016, when he was terminated regarding, “Conduct including circumventing Firm limitations on the accumulation of mutual fund shares in customer accounts resulting in a loss […]

Read More

Investigation of Cetera Advisors LLC Financial Advisor Donna Hines

Posted on Saturday, March 9th, 2019 at 11:55 am    

There are options for customers of Cetera Advisors LLC financial advisor Donna Hines (CRD# 4275524). Hines has been registered with Cetera Advisors LLC in Weston, West Virginia since 2013. Hines has been the subject of four customer complaints between 2015 and 2018, according to his CRD report: June 2018. “Clients claim vague allegations of unsuitable […]

Read More

Can I Recover Losses from Former Aegis Capital Corp Financial Advisor Michael Venturino?

Posted on Saturday, March 9th, 2019 at 12:41 pm    

Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Venturino has been registered with Spartan Capital Securities, LLC in Garden City, New York since April 2018. Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with […]

Read More

How to Bring a Claim Against UBS Financial Services Inc. for Yield Enhancement Strategy Losses

Posted on Friday, March 1st, 2019 at 11:39 am    

Did you lose money investing in UBS Yield Enhancement Strategy (YES strategy)? The UBS Yield Enhancement Strategy was marketed as an options strategy that was promotes as a safe way to provide investors with additional income. However, this was not the case and many investors were not aware of the risks in investing, and they […]

Read More

Former Morgan Stanley Financial Advisor James Mewhinney III Unsuitable CEF Losses

Posted on Friday, March 1st, 2019 at 11:27 am    

Erez Law is currently investigating former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) regarding excessive and unsuitable closed end fund (CEF) transactions. Mewhinney was registered with Morgan Stanley in Dallas, Texas from 2009 to 2018. Mewhinney has been the subject of two customer complaints between 2008 and 2018, according to his CRD report: […]

Read More

Did you Lose Money Investing in LJM Capital Preservation and Growth Fund with Katrina Barrett Financial Advisor Geneos Wealth Management, Inc.?

Posted on Sunday, February 24th, 2019 at 10:19 am    

Geneos Wealth Management, Inc. financial advisor Katrina Barrett (CRD# 5297739) allegedly recommended her clients investment in LJM Capital Preservation and Growth Fund. Barrett has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona since 2009. LJM Partners is an investment management firm that operates the mutual fund LJM Capital Preservation and Growth Fund (NASDAQ:LJMIX). […]

Read More

How to Bring a Claim Against Coastal Equities, Inc. Financial Advisor Sam Aziz

Posted on Tuesday, February 12th, 2019 at 3:12 pm    

Were you the victim of Coastal Equities, Inc. financial advisor Sam Aziz (CRD# 1721932)? Aziz was registered with David A. Noyes & Company in Dublin, Ohio from July to November 2018, when he was terminated regarding, “While under internal investigation, the firm received a copy of a wells notice sent to mr. Aziz for activities […]

Read More