Author: Jeff Erez
Were you the victim of former TD Ameritrade, Inc. broker Kwasi Aggor (CRD# 4974222)? Aggor was registered with TD Ameritrade, Inc. in Providence, Rhode Island from 2008 to 2018. In April 2020, FINRA barred Aggor after he, “consented to the … Continue reading
In January 2020, FINRA fined LPL Financial LLC with a $6.5 million fine regarding supervisory failures. According to the Acceptance, Waiver & Consent (AWC), “LPL failed to establish and maintain a supervisory system, including written procedures, reasonably designed to achieve … Continue reading
In June 2020, J.P. Morgan was ordered by FINRA to pay $650,000, which included $325,000 in fines as well as $333,619.34 in restitution, plus interest, to its customers regarding supervisory issues related to the sale of volatility-linked exchange-traded products (ETPs). … Continue reading
Were you the victim of NTB Financial Corporation broker Thomas Bonik (CRD# 852722)? Bonik was registered with NTB Financial Corporation in St. Augustine, Florida from 1998 to 2020, when he was terminated regarding, “Unsuitable recommendations by Mr. Bonik leading to … Continue reading
Erez Law is currently investigating brokers registered at brokerage firms across the country who recommended their clients invest in Oasis Petroleum. In September 2020, Oasis Petroleum filed for Chapter 11 bankruptcy, allowing the oil company to continue its operations while … Continue reading
Did you lose money investing in Hornbeck Offshore? Brokers across the country recommended their clients invest in Hornbeck Offshore and suffered investment losses In September 2020, Hornbeck Offshore emerged from Chapter 11 pursuant to its Joint Prepackaged Chapter 11 Plan … Continue reading
Erez Law recently filed a FINRA arbitration against Benjamin F. Edwards & Company Inc. related to investment losses with broker Thomas Kintz (CRD #2667817), who has been a registered representative of Benjamin F. Edwards & Company Inc. in Boynton Beach, … Continue reading
Erez Law is currently investigating former National Securities Corp. broker Christopher Voccola (CRD# 2963678) regarding suitability concerns. Voccola has been registered with Madison Global Partners LLC in Hauppauge, New York since 2018. Voccola was registered with National Securities Corp. in … Continue reading
Erez Law is currently investigating Money Concepts Capital Corp. broker Ray Reese (CRD# 1694620) regarding variable annuity loses. Reese has been registered with Money Concepts Capital Corp. in Farmington, Missouri since 1997. Reese has been the subject of five customer … Continue reading
There are options for customers of former Stoever, Glass & Company Inc. broker Adam Goodman (CRD# 2263780)? Goodman has been registered with Stoever, Glass & Company Inc. in Boca Raton, Florida since January 2018. Previously, Goodman was registered with Herbert … Continue reading