Author: Jeff Erez
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Erez Law is currently investigating Money Concepts Capital Corp. broker Darren Oglesby (CRD# 2480135) regarding private placement losses. Oglesby has been registered with Money Concepts Capital Corp. in Monroe, Louisiana since 1995. Oglesby has been the subject of three customer … Continue reading
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Were you the victim of former Westminster Financial Securities, Inc. broker Louis Telerico (CRD# 443875)? Telerico was registered with Westminster Financial Securities, Inc. in Dayton, Ohiofrom 2012 to 2016. In June 2018, Telerico was suspended by FINRA for six months … Continue reading
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Former Valic Financial Advisors, Inc. broker Antonio Puente (CRD# 2695224) is barred by FINRA for selling away. Puente was registered with Valic Financial Advisors, Inc. in Miami, Florida from 1999 to 2018, when he was terminated regarding, “Registration terminated following … Continue reading
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Did Newbridge Securities Corporation broker Scott Brooks (CRD# 3235252) recommend you invest in GPB Capital Holdings’ private placements? Brooks has been registered with Newbridge Securities Corporation in San Clemente, California since 2007. Brooks has been the subject of two customer … Continue reading
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Erez Law is currently investigating First Allied Securities, Inc. broker William Fox (CRD# 1522234) regarding alternative investment losses. Fox has been registered with First Allied Securities, Inc. in Austin, Texas since 2014. Previously, Fox was registered with New England Securities … Continue reading
Jeffrey Erez won a $3.3 million Finra arbitration on behalf of two clients against Morgan Stanley. The company’s appeal of the arbitration, in which it was ordered to pay $3.3 million, was thrown out of court this week. The court’s … Continue reading
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Erez Law is currently investigating National Securities Corporation broker Anthony Buono III (CRD# 5761641) regarding structured product losses. Buono has been registered with National Securities Corporation in New York, New York since 2013. Buono has been the subject of one … Continue reading
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Were you the victim of former Hornor, Townsend & Kent, LLC broker Clay Erickson (CRD# 1583644)? Erickson was registered with Hornor, Townsend, & Kent, Inc. in Salt Lake City, Utah from 2011 to 2016, when he was terminated regarding, “Registered … Continue reading
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Did Woodbury Financial Services, Inc. broker Daryl Serizawa (CRD# 2293939) recommend you invest in GPB Capital Holdings’ private placements? Serizawa has been registered with Woodbury Financial Services, Inc. in Irvine, California since 2017. Previously, Serizawa was registered with Independent Financial … Continue reading
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Erez Law is currently investigating brokers across the country who recommended their clients invest in leveraged exchange-traded funds (ETFs), following significant declines when the market crashed due to the COVID-19 pandemic (the coronavirus of the winter and spring of 2020). … Continue reading