Author: Jeff Erez
Were you the victim of Spartan Capital Securities, LLC broker John Cullen (CRD# 5062835)? Cullen has been registered with Spartan Capital Securities, LLC in Garden City, New York since 2013. Cullen has been the subject of three customer complaints between … Continue reading
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker Michael Fahsholtz (CRD# 2057306). Fahsholtz has been registered with Stifel, Nicolaus & Company, Incorporated in Wenatchee, Washington from 2011 to 2020. Fahsholtz has been the subject of 10 … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Karen McKinley (CRD# 5608238) for customer investment losses. McKinley has been registered with Morgan Stanley in Manchester, New Hampshire from 2009 to 2016 after he was terminated regarding, “Allegations regarding employee’s … Continue reading
There are options for clients of UBS Financial Services Inc. broker Richard Whalen (CRD# 1097944) who suffered investment losses. Whalen has been registered with UBS Financial Services Inc. in Phoenix, Arizona since 2008. Whalen has been the subject of one … Continue reading
There are options for clients of Triad Advisors LLC broker Mark Just (CRD# 1138738) who suffered investment losses. Just has been registered with Triad Advisors LLC in Indianapolis, Indiana since 1991. Just has been the subject of six customer complaints … Continue reading
There are options for customers of Morgan Stanley broker William May (CRD# 1254424) who suffered investment losses. May has been registered with Morgan Stanley in Alpharetta, Georgia since 2009. May has been the subject of one customer complaint, according to … Continue reading
Were you the victim of Cambridge Investment Research, Inc. broker Curtis Harris (CRD# 2628896)? Harris has been registered with Cambridge Investment Research, Inc. in Dallas, Texas since 2008. Previously, Harris was registered with HFG Advisors, L.L.C. in Dallas, Texas and … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
In March 2021, clients of UBS Financial Services Inc. won an award in a FINRA arbitration for $1,044,242 in compensatory damages, plus 4% per annum interest until paid in full and a $600 non-refundable portion of the filing fee, for … Continue reading
Did you lose money investing with former UBS Financial Services Inc. broker Ricardo Armijo (CRD# 2694904)? Armijo has been registered with Raymond James & Associates, Inc. in Birmingham, Michigan since 2019. Previously, Armijo was registered with UBS Financial Services Inc. … Continue reading