Author: Jeff Erez
Erez Law is currently investigating Raymond James & Associates, Inc. broker Eric Bachinsky (CRD# 1002854) regarding unsuitable investment recommendations. Bachinsky has been registered with Raymond James & Associates, Inc. in Palm Beach Gardens, Florida since 2006. Bachinsky has been the … Continue reading
There are options for customers who suffered investment losses due to former Morgan Stanley broker Kenneth Hutkin (CRD# 1344519). Hutkin has been registered with Wedbush Securities Inc. in New York, New York since 2018. Previously, Hutkin was registered with Morgan … Continue reading
Did you suffer investment losses due to recommendations by former Northwestern Mutual Investment Services, LLC broker Donnell Bowen (CRD# 5641822)? Bowen was registered with Northwestern Mutual Investment Services, LLC in Washington, DC from 2009 to 2017, when he was terminated … Continue reading
Erez Law is currently investigating former Triad Advisors, Inc. broker David Atlee (CRD# 5565960) who is accused of recommending unsuitable GPB Capital Holdings investments. Atlee was registered with Triad Advisors, Inc. in Jacksonville, Florida from 2014 to 2017. GPB Capital … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Michael Paesano (CRD# 1557229) regarding investment losses due to churning (excessive trading). Paesano was registered with Morgan Stanley in New York, New York from 2011 to 2017, when he was terminated … Continue reading
In May 2020, FINRA sanctioned Stifel, Nicolaus & Company Inc. to pay $3.65 million for unit investment trust (UIT) violations, including $1.9 million in restitution plus interest to more than 1,700 customers; FINRA also fined Stifel, Nicolaus & Company Inc. … Continue reading
National Securities Corp. broker Kevin Dziubela (CRD# 3208688) received multiple customer complaints regarding unsuitable investment recommendations. Dziubela has been registered with National Securities Corporation in Boca Raton, Florida since 2014. Dziubela has been the subject of three customer complaints between … Continue reading
Former Merrill Lynch broker Christopher Roumayeh (CRD# 4510051) was suspended for 21 months following a FINRA investigation regarding his engagement in outside business activities (selling away). Roumayeh has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Bloomfield … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Li-Lin Hsu (Yilin Hsu) (CRD# 4706509) regarding her Ponzi Scheme that defrauded at least 20 clients out of $8.1 million. Hsu has been registered with Ameriprise Financial Services, Inc. … Continue reading
Erez Law is currently investigating former Kalos Capital, Inc. broker Arni Diamond (CRD# 2667392). Diamond has been registered with Dempsey Lord Smith, LLC in Jacksonville, Florida since September 2018. Previously, Diamond was registered with Kalos Capital, Inc. in Jacksonville, Florida … Continue reading