Author: Jeff Erez
In December 2018, FINRA censured and fined Merrill Lynch $300,0000 for failure to supervise Eva Weinberg (CRD# 1767814), who engaged in a scheme to defraud a Merrill Lynch customer. According to the Acceptance, Waiver and Consent, between February 2010 and … Continue reading
Did you lose money in Puerto Rico bonds with RBC Capital Markets, LLC financial advisor Janine Killmer (CRD# 1753296)? Killmer has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey since 2001. Puerto Rico suffers from long-term … Continue reading
Did you lose money investing with Worden Capital Management LLC brokers Donald Fowler (CRD# 4989632) and Gregory Dean (CRD# 4922996) who are accused of churning in customer accounts? Donald Fowler Regulatory Sanctions In August 2021, FINRA barred Donald Fowler after … Continue reading
In October 2018, a client of UBS Financial Services Inc. and UBS Financial Services Inc. of Puerto Rico won an award in a FINRA arbitration for compensatory damages for $435,623.33 plus 4.75% per annum, $26,936.49 in costs, and $102,000 in … Continue reading
Herbert J. Sims & Co., Inc. financial advisor Robert Sallas (CRD# 1468194) is accused of unsuitable Puerto Rico bonds recommendations. Sallas has been registered with Herbert J. Sims & Co, Inc. in Boca Raton, Florida since 2002. Puerto Rico suffers … Continue reading
Newbridge Securities Corporation financial advisor Dana Davis (CRD# 1707708) is accused of unsuitable investment recommendations and excessive trading. Davis has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previously, Davis was registered with First Montauk … Continue reading
Erez Law is currently investigating Paulson Investment Company LLC financial advisor Michael Nixon (CRD# 2169631) regarding investment losses. Nixon has been registered with Paulson Investment Company LLC in Tampa, Florida since 2015. Nixon has been the subject of two customer … Continue reading
Did you lose money investing with Aegis Capital Corp. financial advisor Damian Mamane (CRD# 4424077)? Mamane has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2014. Mamane has been the subject of two customer complaints between 2013 … Continue reading
Have you suffered investments losses due to recommendations from Next Financial Group, Inc. financial advisor Stephen Williams (CRD# 2395948)? Williams has been registered with Next Financial Group, Inc. in Madison, Alabama since 2007. Williams has been the subject of eight … Continue reading
Merrill Lynch, Pierce, Fenner & Smith Incorporated recently terminated broker Charles Kenahan (CRD# 1351974) regarding claims of unauthorized and excessive trading. Kenahan was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boston, Massachusetts from 2007 to July 2019, … Continue reading