Author: Jeff Erez
Erez Law is currently investigating former RP Capital LLC broker Aaron Maurer (CRD# 3007121) regarding Aequitas investment losses, a Ponzi scheme. Aaron Maurer was registered with Ascendant Alternative Strategies, LLC in Austin, Texas from June 2018 to December 2019. Previously, … Continue reading
Did you lose money investing with former Foresters Equity Services, Inc. financial advisor Michael Rappa (CRD# 4799159)? Rappa was registered with Foresters Equity Services, Inc. in San Diego, California from 2010 to 2017. In February 2019, FINRA barred Rappa after … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Hornor, Townsend & Kent, Inc. financial advisor Thomas Sova (CRD# 431135) regarding Woodbridge Group of Companies losses. Sova was registered with Hornor, … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. financial advisor Jonathan Pyne (CRD# 2580510) regarding unsuitable investment recommendations. Pyne has been registered with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis, Minnesota since 2007. Pyne … Continue reading
In February 2018, a former client of Wells Fargo Clearing Services won an award in a FINRA arbitration for compensatory damages for $750,000, plus 9% interest per annum and $36,600 in witness fees for losses sustained from investments in the … Continue reading
In October 2021, a former client of Wells Fargo Advisors Financial Network, LLC won an award in a FINRA arbitration for compensatory damages for $2,998,814.81. The complaint was regarding broker John Schmidt (CRD# 708094), who was registered with Wells Fargo … Continue reading
In March 2019, the Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge. According to the SEC order, “Wedbush ignored numerous … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Mark Augusta (CRD# 1333913) regarding unsuitable and unauthorized trades. Augusta has been registered with Hilltop Securities Inc. in Del Mar, California since 2015. Augusta was previously registered with Wedbush Securities … Continue reading
There are options for customers of Raymond James & Associates, Inc. financial advisor William Council (CRD# 848504) who suffered investment losses. Council has been registered with Raymond James & Associates, Inc. in San Diego, California since 2015. Council has been … Continue reading
In February 2019, a former client of Benjamin & Jerold Brokerage I, LLC won an award in a FINRA arbitration for compensatory damages for $957,598.77 plus 1.5% interest per annum for losses sustained from losses sustained from investments in Apollo … Continue reading