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
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
Erez Law is currently investigating former The Tavenner Company broker Dean Mings (CRD# 1197212) regarding investment losses. Mings was registered with The Tavenner Company in Springfield, Ohio from 2002 to 2018, when he was terminated regarding “RR violated firm policy … Continue reading