Author: Jeff Erez
Barred broker Rand Heckler (CRD# 2689235) is accused of recommending unsuitable investments to clients, resulting in losses. Heckler was registered with Benjamin & Jerold Brokerage I, LLC in Glen Cove, New York from 2014 to 2019. Previously, Heckler was registered … Continue reading
There are options for customers of former First Standard Financial Company LLC broker Gabriel Block (CRD# 2103543) who suffered investment losses. Block was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2016 to 2018, and … Continue reading
Did Next Financial Group, Inc. broker Charles Doraine (CRD# 70411) recommend you unsuitable Puerto Rico bonds? Doraine has been registered with Next Financial Group, Inc. in Corpus Christi, Texas since 2007. Puerto Rico suffers from long-term financial and economic deficiencies … Continue reading
Erez Law is currently investigating former president and chief compliance officer of Gould, Ambroson & Associates Ltd. Jay Ambroson (CRD# 859012). Ambroson was registered with Gould, Ambroson & Associates Ltd. in Garden City, New York from 1986 to 2018. Ambroson … Continue reading
Former HD Vest Investment Services broker Thomas Laws (CRD# 4494448) is alleged to recommend unsuitable Santa Fe Gold Corporation investments. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to 2017. In April 2019, … Continue reading
Former Lincoln Financial Securities Corporation broker Barry Horowitz (CRD# 2651525) faces allegations of client damages in excess of $2.4 million related to promissory note losses. Horowitz was registered with Lincoln Financial Securities Corporation in Glastonbury, Connecticut from 1995 to August … Continue reading
Did your broker recommend you over-concentrate your investment portfolio in NorthStar Healthcare Income REIT? Erez Law is currently investigating brokers across the country who recommend their clients invest in NorthStar Healthcare Income Real Estate Investment Trust (REIT), a public, non-traded … Continue reading
In April 2019, a former client of WFG Investments, Inc. won an award in a FINRA arbitration for compensatory damages for $358,387.21 for losses sustained from a pump and dump scheme. The investors were clients of brokers Wilson Williams (CRD# … Continue reading
In May 2019, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $519,089 plus 8.75% interest per annum for losses sustained from unsuitable ETF recommendations. The investors were clients of broker Timothy … Continue reading
There are options for customers of former Prospera Financial Services, Inc. broker Dudley Stephens (CRD# 4119268) who suffered investment losses. Stephens was registered with the following brokerage firms: Coastal Equities, Inc. in New York, New York (11/22/2016 – 07/23/2018) Prospera … Continue reading