Author: Jeff Erez
In October 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $172,000, plus $68,800 in attorney’s fees and $100,000 in punitive damages, and $20,000 in costs for losses sustained … Continue reading
Did you lose money investing with former Investors Capital Corp. financial advisor Thomas Logue (CRD# 1700554)? Logue was registered with American Independent Securities Group, LLC in Hinsdale, Illinois from 2014 to 2017 and previously with Investors Capital Corp. in Hinsdale, … Continue reading
Have you suffered investment losses due to former Mutual Securities, Inc. financial advisor Gary Pevey (CRD# 2129469)? Pevey has been registered with Mutual Securities, Inc. in Sacramento, California from 2011 to February 2018, when he was terminated regarding, “Violation of … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former J.W. Cole Financial, Inc. financial advisor William Downing (CRD# 1529382). Downing was registered with Coastal Equities, Inc. in Wimberley, Texas from August … Continue reading
Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Floyd Powell (CRD# 2220029) regarding investment losses. Powell has been registered with MML Investors Services, LLC in Albertville, Alabama from March 2017 to February 2018 and with MSI … Continue reading
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