Unsuitable Investments

Erez Law Files Claim for YES Losses Due to Investments with UBS Financial Services and Broker Jose Cornide

Posted on Monday, August 19th, 2019 at 8:10 pm    

Erez Law recently filed a FINRA arbitration against UBS Financial Services Inc. for Yield Enhancement Strategy (YES) program losses. The customer alleges that Jose Cornide (CRD #2785918) recommended the client invest in the YES program and suffered significant losses. The Erez Law clients, who were longtime clients of Cornide and UBS Financial Services Inc., allege […]

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Erez Law Files Claim Against CPA Jay Jackler for Castleberry Investment Program Losses

Posted on Monday, August 19th, 2019 at 7:59 pm    

Erez Law recently filed a lawsuit against Jay Jackler, a registered certified public accountant (CPA), who is alleged to recommend his former client invest in the Castleberry Silver Alternative Investment Fund. The allegations in the complaint filed in Palm Beach County are: At the advice of Jackler, the client formed a pension plan and maintained […]

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How to Bring a Claim Against Former Buckman, Buckman & Reid, Inc. Broker William Baumner IV

Posted on Monday, August 12th, 2019 at 2:38 pm    

Were you the victim of former Buckman, Buckman & Reid, Inc. broker William Baumner IV (CRD# 2298690) who is alleged to recommend unsuitable investments? Baumner has been registered with Tradespot Markets Inc. in Davie, Florida since April 2019. Previously, Baumner was registered with Buckman, Buckman & Reid, Inc. in Boca Raton, Florida from 2010 to […]

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LJM Funds Investment Losses with Cambridge Investment Research, Inc. Broker John Pronovost

Posted on Wednesday, August 7th, 2019 at 8:16 pm    

Cambridge Investment Research, Inc. broker John Pronovost (CRD# 1990612) is accused of recommending unsuitable investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you […]

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Lost Money Investing with Barred Broker Rand Heckler?

Posted on Thursday, July 25th, 2019 at 9:58 am    

Barred broker Rand Heckler (CRD# 2689235) is accused of recommending unsuitable investments to clients, resulting in losses. Heckler was registered with Benjamin & Jerold Brokerage I, LLC in Glen Gove, New York from 2014 to 2019. Previously, Heckler was registered with SW Bach & Company Inc. in Port Washington, New York from June to August […]

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Did Former HD Vest Investment Services Broker Thomas Laws Recommend Unsuitable Santa Fe Gold?

Posted on Wednesday, July 24th, 2019 at 8:55 pm    

Former HD Vest Investment Services broker Thomas Laws (CRD# 4494448) is alleged to recommend unsuitable Santa Fe Gold Corporation investments. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to 2017. In April 2019, FINRA barred Laws after he consented to the sanction and to the entry of findings […]

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Shopoff Securities, Inc. President and CEO William Shopoff Charged by FINRA with Fraud

Posted on Saturday, July 20th, 2019 at 8:25 pm    

Erez Law is currently investigating Shopoff Securities, Inc. president and chief executive officer (CEO) William Shopoff (CRD# 1273471) regarding unsuitable investment recommendations and the fraudulent sale of promissory notes. Shopoff has been registered with Shopoff Securities, Inc. in Irvine, California since 2007. In January 2019, FINRA named Shopoff in a complaint alleging his member firm, […]

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Were You the Victim of Former UBS Financial Services Inc. Broker William Hobby?

Posted on Saturday, July 20th, 2019 at 11:55 am    

There are options for customers of former UBS Financial Services Inc. broker William Hobby (CRD# 2240076). Hobby was registered with UBS Financial Services Inc. in Atlanta, Georgia from 2012 to October 2018, when he was terminated regarding, “FA discharged after firm’s review found that he (i) exercised discretion in client account without written authorization, in […]

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Did You Lose Money Investing with Investors Capital Corp. Broker Nina Jessee?

Posted on Wednesday, July 17th, 2019 at 8:24 am    

Investors Capital Corp. broker Nina Jessee (CRD# 1484808) is alleged to make unsuitable investment recommendations. Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated firm policy for not disclosing outside business activity (oba) prior to engaging.” Previously, Jessee was registered with Investors […]

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First Standard Financial Company LLC Broker Debra Bourne Accused of Excessive Trading

Posted on Tuesday, July 16th, 2019 at 8:43 pm    

Were you the victim of excessive trading with former First Standard Financial Company LLC broker Debra Bourne (CRD# 1352344)? Bourne was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to May 2019, and previously with National Securities Corporation in Red Bank, New Jersey from 2014 to 2016. Bourne has […]

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