Author: Jeff Erez
In May 2019, the Securities and Exchange Commission (SEC) announced it obtained a court order halting an ongoing $30 million Ponzi scheme that targeted more than 300 investors in the U.S. and Canada. The south Florida-based Argyle Coin, LLC, was … Continue reading
Erez Law is currently investigating broker Kerry Hoffman (CRD# 1061740) regarding his role in the GT Media scam. In July 2019, the Securities and Exchange Commission (SEC) charged Thomas Conwell (CRD# 2095817) and Hoffman for fraudulently selling securities to retail … Continue reading
In August 2019, the Securities and Exchange Commission (SEC) charged Tallahassee-based investment adviser firm Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC); Cambridge’s president Phillip Timothy Howard, a Florida attorney who represented the retired players in the class … Continue reading
Erez Law is currently investigating Aegis Capital Corp. and its brokers across the country who recommended unsuitable GPB Capital Holdings investments. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high … Continue reading
In August 2019, the Securities and Exchange Commission (SEC) charged 1 Global Capital LLC’s former chief financial officer, Alan Heide, with defrauding retail investors. The SEC’s complaint Heide with violations of the antifraud provisions of the federal securities laws. According … Continue reading
In May 2019, the Securities and Exchange Commission (SEC) charged owner and operator of River Source Wealth Management, LLC Stephen Anderson (CRD# 4062846) with defrauding clients by overcharging advisory fees of at least $367,000. River Source Wealth Management, LLC is … Continue reading
Erez Law is currently investigating Concorde Investment Services, LLC broker Robert Smith (CRD# 1412333) regarding GPB Capital Holdings investment losses. Smith has been registered with Concorde Investment Services, LLC in Lake Oswego, Oregon since 2011. According to public records, Smith … Continue reading
Were you the victim of former UBS Financial Services Inc. broker David Fagenson (CRD# 1652012)? Fagenson has been registered with Newbridge Securities Corporation in Boca Raton, Florida since December 2016. Previously, he was registered with UBS Financial Services Inc. in … Continue reading
Former IMS Securities, Inc. broker Jackie Wadsworth (CRD# 2342163) barred by FINRA loses case against former customer for negligent supervision and high-risk, illiquid investment losses. Wadsworth has been registered with IMS Securities, Inc. in Houston, Texas since 1994. In November … Continue reading
Former Ameritas Investment Corp. broker Kristian Gaudet (CRD# 4190811) has three recent customer complaints investment losses due to the barred broker’s recommendations. Gaudet was registered with Ameritas Investment Corp. in Cut Off, Louisiana from 2003 to 2018, when he was … Continue reading