Author: Jeff Erez
Were you the victim of Raymond James Financial Services, Inc. broker Timothy Bartelt (CRD# 2501532)? Bartelt has been registered with Raymond James Financial Services, Inc. in Elm Grove, Wisconsin since 2008. In 1997, the Ohio Division of Securities opened an … Continue reading
Did Aegis Capital Corp. broker Gerald Sharpe (CRD# 2109210) make unsuitable investment recommendations? Sharpe has been registered with Aegis Capital Corp. in Red Bank, New Jersey since 2016. Previously, Sharpe was registered with National Securities Corporation in Red Bank, New … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Sonia Balfour-Fears (CRD# 5864524) regarding churning. Balfour-Fears has been registered with Morgan Stanley in Atlanta, Georgia since January 2021. Previously, Balfour-Fears was registered with Merrill Lynch, … Continue reading
Did you lose money investing with former Dinosaur Financial Group, L.L.C. broker Gerald Brodsky (CRD# 1172647)? Brodsky was registered with Dinosaur Financial Group, L.L.C. in New York, New York from 2014 to 2016. In August 2019, FINRA barred Brodsky after … Continue reading
Erez Law is currently investigating David Lerner Associates broker Martin Lerner (CRD# 871038) who is alleged to recommend a strategy concentrated in high-risk and illiquid investments in the energy sector. Lerner has been registered with David Lerner Associates in Boca … Continue reading
Erez Law is currently investigating former Four Points Capital Partners LLC broker Allan Montalbano (CRD# 4507029) regarding stock investment losses. Montalbano was registered with Worden Capital Management LLC in Garden City, New York from 2015 to 2017 and previously with … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014. … Continue reading
There are options for clients of Morgan Stanley broker Adam Stowell (CRD# 5889607) who suffered investment losses. Stowell has been registered with Morgan Stanley in Alpharetta, Georgia since 2014. Stowell has been the subject of one customer complaint, according to … Continue reading
Erez Law is currently investigating former American Independent Securities Group, LLC broker Nathan Katz (CRD# 846475) who faces a customer complaint for fixed annuities losses. Katz was registered with American Independent Securities Group, LLC in Largo, Florida from 2018 to … Continue reading
Can I recover losses from investments with Momentum Independent Network Inc. broker Walter Stallones (CRD# 433344)? Stallones has been registered with Momentum Independent Network Inc. in San Marcos, Texas since 2010. Stallones has been the subject of six customer complaints … Continue reading