Author: Jeff Erez
Former Mutual of Omaha Investor Services, Inc. broker Edward Matthes (CRD# 2788055), who was barred by FINRA regarding unsuitable variety annuity investment recommendations, recently pled guilty to wire fraud. Matthes was registered with Mutual of Omaha Investor Services, Inc. in … Continue reading
Erez Law is currently investigating former HD Vest Investment Services financial advisor Erin Verespy (CRD# 2727866) regarding misuse and misappropriation of customer funds. Verespy was registered with HD Vest Investment Services in Trumbull, Connecticut from 1998 to 2019. In April … Continue reading
Financial advisors across the country who work at large brokerage firms including Merrill Lynch, Credit Suisse, Morgan Stanley, and UBS, among others, recommended unsuitable Yield Enhancement Strategy (YES strategy) investments that resulted in devastating losses to their clients. Unfortunately, many … Continue reading
In April 2019, a former client of Herbert J. Sims & Co. Inc. won an award in a FINRA arbitration for compensatory damages for $480,000, as well as $30,000 in costs and $600 for the non-refundable portion of the filing … Continue reading
Aegis Capital Corp. financial advisor Paul Falcon (CRD# 2464566) faces $1 million customer complaint for investment losses. Falcon has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2013. Falcon has been the subject of six customer complaints … Continue reading
Former Cambridge Investment Research, Inc. financial advisor Gary Meier (CRD# 1591561) has six pending customer complaints for investment losses. Meier was registered with Cambridge Investment Research, Inc. in Vancouver, Washington from 2013 to 2015. In August 2017, the Washington state … Continue reading
Are you a UPS employee who lost money investing with a Merrill Lynch broker? According to public records, a former Merrill Lynch customer and former employee of UPS filed a FINRA arbitration claim against the broker dealer for losses sustained … Continue reading
In March 2019, a former client of Capital & Security Management Inc. won an award in a FINRA arbitration for compensatory damages for $326,000 plus 5% per annum until the award is paid in full. The customer complaint originally alleged … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisors across the country who recommended their clients invest in UBS structured notes or GOAL Yield products. Structured products are complex securities derived from or based on a single security … Continue reading
In March 2019, a former client of Money Concepts Capital Corp. won an award in a FINRA arbitration for compensatory damages for $698,979, plus 8% per annum until the award is paid in full, and $27,920 in costs and 244,642 … Continue reading