Unsuitable Investments

Erez Law Continues to File Cases for Investors Burned by Ricky Mantei, Cindy Chiellini and Centaurus Financial, Inc.

Posted on Tuesday, May 14th, 2019 at 2:57 pm    

In May 2019, Erez Law filed a FINRA another arbitration against Centaurus Financial, Inc. related to investments with Ricky Mantei (CRD# 1098981), Cindy Chiellini (CRD# 1015592) and Katherine Nishnic (CRD# 2499553), who were registered representatives of Centaurus Financial, Inc. in Lexington, South Carolina. According to the claim filed by Erez Law, the clients are a […]

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Did Former Herbert J. Sims & Co. Inc. Financial Advisor Alan Applebaum Recommend Unsuitable Structured Products?

Posted on Wednesday, May 8th, 2019 at 1:07 pm    

Erez Law is currently investigating former Herbert J. Sims & Co. Inc. financial advisor Alan Applebaum (CRD# 500336) regarding over-concentrating investments in unsuitable structure products. Applebaum has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2015. Previously, Applebaum was registered with Herbert J. Sims & Co. Inc. in Boca Raton, Florida from […]

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Centaurus Financial, Inc. Financial Advisor Michael Fassi Unsuitable Investment Recommendations

Posted on Friday, May 3rd, 2019 at 9:18 am    

Were you the victim of Centaurus Financial, Inc. financial advisor Michael Fassi (CRD# 828921) who recommended unsuitable investment? Fassi has been registered with Centaurus Financial, Inc. in Fort Collins, Colorado and Reno, Nevada since 2006. Fassi has been the subject of one customer complaint, according to his CRD report: November 2018. “Customer primarily alleges that […]

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Janney Montgomery Scott LLC Financial Advisor Barbara Kenerson Has $500,000 Pending Complaint for Unsuitable Investments

Posted on Tuesday, April 30th, 2019 at 8:20 pm    

Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Barbara Kenerson (CRD# 1060984) regarding unsuitable investment recommendations and excessive trading. Kenerson has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island from 1999 to 2018. Kenerson has been the subject of three customer complaints between 2001 and 2019, one of which […]

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Capitol Securities Management, Inc. Financial Advisor Richard Ragold Investment Losses

Posted on Tuesday, April 30th, 2019 at 8:15 pm    

Did you lose money investing with Capitol Securities Management, Inc. financial advisor Richard Ragold (CRD# 1808168)? Ragold has been registered with Capitol Securities Management, Inc. in Florham Park, New Jersey since 2007. Ragold has been the subject of two customer complaints between 2001 and 2019, according to his CRD report: January 2019. “Client alleged that […]

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Wells Fargo Financial Advisor Bryan Benson Investment Losses

Posted on Tuesday, April 30th, 2019 at 8:03 pm    

Erez Law is currently investigating Wells Fargo financial advisor Bryan Benson (CRD# 807506) regarding unsuitable investments. Benson has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2007. Benson has been the subject of two customer complaints between 2017 and 2019, according to his CRD report: January 2019. “Claimant alleges that beginning […]

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Unsuitable Investment Recommendations with Dawson James Securities, Inc. Financial Advisor Robert Armstrong PhD

Posted on Tuesday, April 30th, 2019 at 7:59 pm    

Dawson James Securities, Inc. financial advisor Robert Armstrong PhD (CRD# 5236735) is accused of unsuitable investment recommendations resulting in losses. Armstrong has been registered with Dawson James Securities, Inc. in Boca Raton, Florida since 2012. Armstrong has been the subject of seven customer complaints between 2017 and 2019, according to his CRD report: January 2019. […]

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GPB Capital Holdings Allegedly Sold by More than 80 Brokerage Firms Across the Country

Posted on Tuesday, April 23rd, 2019 at 3:49 pm    

Financial advisors across the country from more than 80 brokerage firms are alleged to recommend unsuitable investments in GPB Capital Holdings. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to their nature as unregistered securities offerings (and without regulatory oversight). […]

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Erez Law Files $1 Million-Plus Claim for investment Losses by Centaurus Financial, Inc. and J.P. Turner & Company, LLC Financial Advisors Ricky Mantei and Cindy Chiellini

Posted on Tuesday, April 23rd, 2019 at 3:45 pm    

Erez Law recently filed a $1 million-plus FINRA arbitration against Centaurus Financial, Inc. and J.P. Turner & Company, Llc for losses on behalf of an elderly married couple and grown children who suffered significant losses in their investment accounts due to recommendations of unsuitable structured notes. The customers were clients of Ricky Mantei (CRD# 1098981) […]

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The GMS Group Financial Advisor Brett Ellis Receives $1 Million Customer Complaint

Posted on Friday, April 12th, 2019 at 12:58 pm    

There are options for customers of The GMS Group financial advisor Brett Ellis (CRD# 5293493) who suffered investment losses. Ellis has been registered with The GMS Group in Boca Raton, Florida since 2007. Ellis has been the subject of two customer complaints between 2009 and 2018, according to his CRD report: August 2018. “Client alleges […]

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