Author: Jeff Erez
Were you the victim of former Western International Securities, Inc. broker Dennis Mehringer (CRD# 722569)? Mehringer was registered with Western International Securities, Inc. in Pasadena, California from 2009 to May 2018. In October 2019, FINRA barred Mehringer after he consented … Continue reading
There are options for customers of former WestPark Capital Inc. broker Terry Au (CRD# 5579990) who suffered investment losses. Au has been registered with Spartan Capital Securities, LLC in New York, New York since August 2019. Previously, Au was registered … Continue reading
Were you the victim of former Worden Capital Management LLC broker John Calardo (CRD# 6063938)? Calardo was registered with Four Points Capital Partners LLC in New York, New York from 2017 to 2018, with Worden Capital Management LLC in New … Continue reading
Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. and Kalos Capital, Inc. broker Gary Imel (CRD# 254765) regarding regarding GPB Capital Holdings losses. Imel was registered with Ameriprise Financial Services, Inc. in Gig Harbor, Washington from August 2017 … Continue reading
In November 2019, a former client of Ross, Sinclaire & Associates, LLC won an award in a FINRA arbitration for $1.96 million in compensatory damages and 12% interest per annum, as well as $140,567.08 in attorney’s fees and $750 for … Continue reading
Have you suffered losses due to investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Roberto Fernandez (CRD# 1404389)? Fernandez has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, Florida and Guaynabo, Puerto Rico since … Continue reading
Erez Law is currently investigating former Brookville Capital Partners, LLC broker Daniel King (CRD# 5954543) regarding investment losses. King has been registered with Benchmark Investments, Inc. in New York, New York since February 2019. King was previously registered with: Newbridge … Continue reading
There are options for customers of former Aegis Capital Corp. broker Pratul Agnihotri (CRD# 4031797) who suffered investment losses due to outside business activities, which is also known as selling away. Pratul Agnihotri has been registered with SW Financial in … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to … Continue reading