Author: Jeff Erez
Erez Law is currently investigating former Sigma Financial Corporation broker Frederick Randhahn (CRD# 1338801) regarding Woodbridge Group of Companies, LLC investment losses. Randhahn was registered with Sigma Financial Corporation in Ogden, Utah from 2012 to August 2018, when he was … Continue reading
Erez Law is currently investigating former Coastal Equities, Inc. broker Luke Johnson (CRD# 3257008), who is accused of recommending unsuitable GPB Capital Holdings investments. Johnson was registered with Coastal Equities, Inc. in Scottsdale, Arizona from 2012 to 2019, when he … Continue reading
In August 2019, a former client of UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. won an award in a FINRA arbitration for compensatory damages for $4.25 million, plus 6.25% per annum, $170,000 in costs, and … Continue reading
In October 2019, a former client of Merrill Lynch Pierce Fenner & Smith Inc. won an award in a FINRA arbitration for compensatory damages for $330,000 for investment losses sustained. FINRA found that the former Merrill Lynch Pierce Fenner & … Continue reading
Erez Law is currently investigating Sagepoint Financial, Inc. broker Christopher Rice (CRD# 3222439) regarding unsuitable investment recommendations and overconcentration in customer accounts. Rice has been registered with Sagepoint Financial, Inc. in Greensboro, North Carolina since 2005. Prior to then, Rice … Continue reading
Were you the victim of former Wells Fargo broker Ramon Herrera (CRD# 6021170)? Herrera was registered with Wells Fargo Clearing Services, LLC in Jersey City, New Jersey from 2012 to 2018. In October 2019, the New Jersey Bureau of Securities … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Steven Yellen (CRD# 1281663) regarding unauthorized trading. Yellen was registered with Ameriprise Financial Services, Inc. in El Paso, Texas from 2016 to 2018, when he was terminated regarding, “Registered … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Leon Almeida (CRD# 5645472) regarding variable annuity investment losses. Almeida has been registered with MML Investors Services, LLC in Paramus, New Jersey since 2017. Previously, Almeida was registered with MSI … Continue reading
Erez Law is currently investigating California broker Kurt Jackson (CRD# 2913769) regarding high risk energy sector losses. Jackson has been registered with Commonwealth Financial Network in San Luis Obispo, California since 2015. Jackson was registered with NFP Advisor Services, LLC … Continue reading
Kalos Capital, Inc. broker Joshua Stivers (CRD# 5708565) is accused of unsuitable investment recommendations. Stivers has been registered with Kalos Capital, Inc. in Austin, Texas since 2017. Previously, Stivers was registered with G.F. Investment Services, LLC in Austin, Texas from … Continue reading