Author: Jeff Erez
Did former Sagepoint Financial, Inc. broker David Adams (CRD# 1575083) recommended unsuitable investments, including GPB Capital Holdings’ private placements? David Adams has been registered with Ameriprise Financial Services, LLC in Jacksonville, Florida since 2018. Previously, David Adams was registered with Sagepoint … Continue reading
Were you the victim of former Morgan Stanley broker Jesus Rodriguez (CRD# 4888685)? Jesus Rodriguez was registered with Morgan Stanley in El Paso, Texas from 2009 to 2021, when he was terminated regarding, “Allegations regarding registered representative’s use of client … Continue reading
Erez Law is currently investigating former OneAmerica Securities, Inc. broker Dustin Ward (CRD# 4686912) regarding real estate investment losses. Dustin Ward has been registered with Woodbury Financial Services, Inc. in St. Louis, Missouri since 2019. Previously, Dustin Ward was registered … Continue reading
Erez Law is currently investigating Edward Jones broker Albert DeGaetano (CRD# 2458569) regarding stock losses. Albert DeGaetano has been registered with Cabot Lodge Securities LLC in Independence, Ohio from September to November 2019, when he was terminated regarding, “Violated firms … Continue reading
Were you the victim of former Ameriprise Financial Services, LLC broker James Dunn (CRD# 6084258)? James Dunn was registered with Ameriprise Financial Services, LLC in Vienna, Virginia from 2019 to 2021, when he was terminated regarding, “Registered representative resigned while … Continue reading
Did your broker execute unsuitable short-term trading strategies? It is alleged that brokers across the country excessively traded unit investment trusts (UITs), which are investments that are meant to be held long term. According to FINRA, the regulatory agency reached settlements … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Peter David (CRD# 1133608) regarding suitability concerns leading to investment losses. Peter David has been registered with Woodbury Financial Services, Inc. in Waukesha, Wisconsin from 2009 to 2018. Peter … Continue reading
Were you the victim of former Cambridge Investment Research, Inc. broker Daniel Holman (CRD# 1100133)? Daniel Holman has been registered with Cambridge Investment Research, Inc. in Osford, Michigan from 2013 to 2016. Daniel Holman Suitability Concerns Daniel Holman has been … Continue reading
There are options for clients of broker David Volpe (CRD# 2543478) who suffered investment losses. David Volpe was registered with First Financial Equity Corporation in Scottsdale, Arizona from January to May 2019, when he was terminated regarding, “Failure to notify … Continue reading
Were you the victim of former SunTrust Investment Services, Inc. broker Sandra McKoy (CRD# 2954755)? Sandra McKoy has been registered with Kovack Securities Inc. in Tamarac, Florida since 2019. Previously, Sandra McKoy was registered with Citigroup Global Markets Inc. in … Continue reading