Unsuitable Investments

Aegis Capital Corp. Broker Matthew Gaer Investment Loss Options

Posted on Wednesday, July 8th, 2020 at 2:48 pm    

There are options for clients of Aegis Capital Corp. broker Matthew Gaer (CRD# 2301493) who suffered investment losses. Gaer has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2016.  Gaer has been the subject of two customer complaints between 2016 and 2020, according to his CRD report: April 2020. “Time frame: unspecified. […]

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Joseph Gunnar & Co. LLC Broker Anthony Sica Private Placement Losses

Posted on Wednesday, July 8th, 2020 at 2:38 pm    

Did Joseph Gunnar & Co. LLC broker Anthony Sica (CRD# 1332626) recommend you invest in unsuitable private placements? Sica has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2003.  In November 2017, FINRA sanctioned Sica to a $20,000 civil and administrative penalty/fine, $3,039.11 in restitution, and a 3-month suspension […]

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Suitability Concerns Due to Recommendations by Former Aegis Capital Corp. Broker Angelo Vitale

Posted on Wednesday, July 8th, 2020 at 2:25 pm    

Erez Law is currently investigating former Aegis Capital Corp. broker Angelo Vitale (CRD# 2793984) regarding complaints of unsuitable investment recommendations. Vitale has been registered with Alexander Capital, L.P. in New York, New York since 2018. Previously, Vitale was registered with Aegis Capital Corp. in New York, New York from 2010 to 2018.  Vitale has been […]

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Attention Victims of Former Sandlapper Securities, LLC Broker Trawnegan Gall

Posted on Friday, July 3rd, 2020 at 8:22 am    

Were you the victim of former Sandlapper Securities, LLC broker Trawnegan Gall (CRD# 6266415)? Gall has been registered with Wealthforge Securities, LLC in Orange, California since November 2019. Previously, Gall was registered with Cabot Lodge Securities LLC in Orange, California from March to November 2019. Prior to that, Gall was registered with Sandlapper Securities, LLC […]

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Options for Former Clients Who Suffered Investment Losses Due to Recommendations by Newbridge Securities Corporation Broker Kerri Jamison

Posted on Friday, July 3rd, 2020 at 8:15 am    

Newbridge Securities Corporation broker Kerri Jamison (CRD# 4348584) faces multiple customer complaints from customers who suffered investment losses due to their broker’s recommendations. Jamison has been registered with Newbridge Securities Corporation in Mesa, Arizona since 2010. Jamison has been the subject of four customer complaints between 2016 and 2020, according to his CRD report: April […]

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Suitability Concerns Due to Recommendations by Morgan Stanley broker Barry Pechenik?

Posted on Friday, July 3rd, 2020 at 8:12 am    

Erez Law is currently investigating Morgan Stanley broker Barry Pechenik (CRD# 1720138) regarding unsuitable investment recommendations. Pechenik has been registered with Morgan Stanley in Dallas, Texas since 2015.  Pechenik has been the subject of one customer complaint, according to his CRD report: February 2019. “Claimant alleges, inter alia, unsuitability with respect to recommendation for managed […]

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Attention Victims of National Securities Corporation Broker Viqas Akhtar

Posted on Friday, July 3rd, 2020 at 8:09 am    

Were you the victim of National Securities Corporation broker Viqas Akhtar (CRD# 5624412)? Akhtar has been registered with National Securities Corporation in Miami, Florida since 2012. Akhtar has been the subject of seven customer complaints between 2011 and 2020, four of which were closed without action, according to his CRD report: March 2020. “Suitability.” The […]

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Investigation of Former Morgan Stanley Broker Robert David

Posted on Friday, July 3rd, 2020 at 8:06 am    

There are options for clients of former Morgan Stanley broker Robert David (CRD# 5211223) who suffered investment losses. David has been registered with Morgan Stanley in Farmington Hills, Michigan from 2009 to 2019, when he was terminated regarding, “Allegations related to registered representative entering inaccurate client profile information relative to bond-related transactions and concerns that […]

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Former Sandlapper Securities Broker Mark Reinstein Investment Loss Options

Posted on Friday, July 3rd, 2020 at 8:02 am    

Former Sandlapper Securities broker Mark Reinstein (CRD# 1486887) faces two pending customer complaints. Reinstein has been registered with Cabot Lodge Securities LLC in Greenville, South Carolina since 2019. Previously, Reinstein was registered with Sandlapper Securities, LLC in Greenville, South Carolina from 2014 to 2019.  Reinstein has been the subject of two customer complaints between 2019 […]

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Did National Securities Corporation Broker Frank Avallone Make Unsuitable Investment Recommendations?

Posted on Wednesday, July 1st, 2020 at 9:00 pm    

Erez Law is currently investigating National Securities Corporation broker Frank Avallone (CRD# 4814368) regarding unsuitable investment recommendations. Avallone has been registered with National Securities Corporation in South Norwalk, Connecticut since 2015.  Avallone has been the subject of four customer complaints between 2012 and 2020, according to his CRD report. Recent complaints are regarding:  February 2020. […]

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