Author: Jeff Erez
Were you the victim of Avantax Investment Services, Inc. broker Brian Stephens (CRD# 2777382)? Stephens has been registered with Avantax Investment Services, Inc. in Baytown, Texas since 1996. Stephens has been the subject of one customer complaint, according to his … Continue reading
Were you the victim of former Laidlaw & Company (Uk) Ltd. broker Robert Yasnis (CRD# 2399141)? Yasnis has been registered with Worden Capital Management LLC in New York, New York since 2017. Previously, Yasnis was registered with Laidlaw & Company … Continue reading
There are options for clients who lost money investing with MML Investors Services, LLC broker Harrison Nathan (CRD# 3275199). Nathan has been registered with MML Investors Services, LLC in Atlanta, Georgia since 2010. Nathan has been the subject of one … Continue reading
Erez Law is currently investigating LPL Financial LLC broker Mitchell Griffin (CRD# 3129686) regarding variable annuity investment losses. Griffin has been registered with LPL Financial LLC in Columbus, Mississippi since 2017. Previously, Griffin was registered with Axa Advisors, LLC in … Continue reading
Did your J.W. Cole Financial, Inc. broker recommend you invest in LJM funds? If your J.W. Cole Financial, Inc. broker sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you … Continue reading
There are options for clients of Davenport & Company LLC broker Douglas Stopkey (CRD# 2209717) who suffered investment losses. Stopkey has been registered with Davenport & Company LLC in Richmond, Virginia since 2018. Previously, Stopkey was registered with Merrill Lynch, … Continue reading
Former Aegis Capital Corp. broker Kishan Parikh (CRD# 5506554) is accused of unsuitable investment recommendations. Parikh has been registered with Aegis Capital Corp. in New York, New York from 2012 to 2019. Parikh has been the subject of two customer … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Paz Chandra (CRD# 2405701) regarding unsuitable alternative investment recommendations. Chandra has been registered with Royal Alliance Associates, Inc. Clearwater, Florida since 2018. Previously, Signator Investors, Inc. in Clearwater, Florida from … Continue reading
There are options for clients of former Voya Financial Advisors, Inc. broker Peter Mersberger (CRD# 2372186) who suffered investment losses. Mersberger has been registered with Cambridge Investment Research, Inc. in Appleton, Wisconsin since 2017. Previously, Mersberger was registered with Voya … Continue reading
In March 2021, FINRA sanctioned Cambridge Investment Research, Inc. and sanctioned the firm to pay a $400,000 fine, as well as $3,134,354.82 in restitution plus interest. FINRA also required the firm to issue a certification signed by an officer and … Continue reading