Unsuitable Investments

Kalos Capital, Inc. Broker Darren Kubiak GPB Capital Holdings Losses

Posted on Monday, October 21st, 2019 at 3:28 pm    

Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPC Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, Inc. in Alpharetta, Georgia since 2007. In October 2019, Kubiak was sanctioned to a $5,000 […]

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Former National Securities Corporation Broker James Mariani Investment Losses

Posted on Monday, October 21st, 2019 at 3:25 pm    

Were you the victim of former National Securities Corporation broker 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 $15,000, regarding […]

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Madison Avenue Securities, LLC Broker Jeffrey Dixson Alleged to Make Unsuitable Investment Recommendations

Posted on Monday, October 21st, 2019 at 1:55 pm    

Erez Law is currently investigating Madison Avenue Securities, LLC broker Jeffrey Dixson (CRD# 4166311) regarding investment losses. Dixson has been registered with Madison Avenue Securities, LLC in Vancouver, Washington, Portland, Oregon, and Clackamas, Oregon since 2007. In November 2007, the state of Washington, Office of the Insurance Commissioner sanctioned Dixson to a $6,000 fine following […]

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How to Bring a Claim Against Former Morgan Stanley Broker Kevin Gunnip

Posted on Monday, October 21st, 2019 at 1:36 pm    

Erez Law is currently investigating former Morgan Stanley broker Kevin Gunnip (CRD# 2701801) regarding unsuitable and excessive trading allegations. Gunnip has been registered with Morgan Stanley Smith Barney in Southlake, Texas from 2009 to 2018, when he was terminated regarding, “Allegations about whether the representative may have executed some transactions for non-discretionary client accounts without […]

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Did You Lose Money Investing with UBS Financial Services Broker William Hightower?

Posted on Wednesday, October 16th, 2019 at 10:43 am    

In September 2019, a former client of UBS Financial Services and broker William Hightower (CRD# 2152369) won a FINRA arbitration $555,000 in damages resulting from unsuitable investment recommendations. According to Hightower’s BrokerCheck, the allegations were regarding, “Allegations: Plaintiffs allege that Hightower sold her inappropriate investments, including a principal protected note, an alternative private investment, and […]

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Investor Alert: Unsuitable Recommendations by Wells Fargo Clearing Services, LLC Broker Richard Bernstein

Posted on Wednesday, October 16th, 2019 at 10:19 am    

Did you suffer investment losses due to recommendations by Wells Fargo Clearing Services, LLC broker Richard Bernstein (CRD# 1113777)? Bernstein has been registered with Wells Fargo Clearing Services, LLC in Incline Village, Nevada since 2015. Bernstein has been the subject of eight customer complaints between 1992 and 2019, one of which was denied and one […]

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Were You the Victim of Former Hornor, Townsend & Kent, Inc. Broker Alex Blanco

Posted on Wednesday, October 16th, 2019 at 10:12 am    

Erez Law is currently investigating former Hornor, Townsend & Kent, Inc. broker Alex Blanco (CRD# 3146376) regarding unsuitable investment recommendations. Blanco has been registered with MML Investors Services, LLC in New York, New York since November 2017. Previously, Blanco was registered with Pruco Securities, LLC in Howard Beach, New York from January 2016 to September […]

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Sagepoint Financial, Inc. Broker Christopher Bice Has $1 Million-Plus Customer Complaint for Unsuitable Investment Recommendations

Posted on Wednesday, October 16th, 2019 at 10:07 am    

Sagepoint Financial, Inc. broker Christopher Bice (CRD# 3222439) is accused of unsuitable investment recommendations. Bice has been registered with Sagepoint Financial, Inc. in Greensboro, Mooresville, and Salisbury, North Carolina since 2005. Bice was registered with three prior firms between 1999 and 2005 and he was terminated from employment at one brokerage firm. Bice was registered […]

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Erez Law Investigates Former Taylor Capital Management Inc. Broker James Heafner

Posted on Wednesday, October 16th, 2019 at 9:36 am    

Erez Law is currently investigating former Taylor Capital Management Inc. broker James Heafner (CRD# 4837072) regarding investment losses due to unsuitable investment recommendations. Heafner has been registered with Taylor Capital Management Inc. in Charlotte, North Carolina from 2011 to 2018, when he was terminated regarding, “Failure to follow written policies and procedures in regard to […]

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Unsuitable Investments with Laidlaw & Company (Uk) Ltd. Broker John Busco?

Posted on Tuesday, October 8th, 2019 at 7:36 am    

Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, Busco was registered with Morgan Stanley in Toms River, New Jersey from 2009 to 2019. […]

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