Author: Jeff Erez
There are options for customers of Dawson James Securities, Inc. financial advisor Thomas Curtis (CRD# 1402285) who suffered investment losses. Curtis has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2008. Curtis has been the subject of … Continue reading
There are options for customers of former D.H. Hill Securities, LLLP broker Charles Stevens (CRD# 1698058) who suffered investment losses. Stevens was registered with D.H. Hill Securities, LLLP in St. Augustine, Florida from 2006 to 2020. In December 2020, FINRA … Continue reading
Did former Nylife Securities LLC financial advisor Joel Flaningan (CRD# 5664958) recommend you invest in the Woodbridge Group of Companies? Flaningan was registered with Nylife Securities LLC in Fort Wayne, Indiana from 2010 to May 2018 when he was terminated … Continue reading
There are options for customers of Kestra Investment Services, LLC financial advisor Mitchell Walk (CRD# 3195375) regarding investment losses. Walk has been registered with Kestra Investment Services, LLC in Longwood, Sarasota and St. Augustine, Florida since 2001. Walk has been … Continue reading
Erez Law is currently investigating former HD Vest Investment Services financial advisor Donna Barnard (CRD# 5653949) regarding recommendations related to investments in Woodbridge Investment Funds. Barnard was registered with HD Vest Investment Services in Kilgore, Texas from 2014 to May … Continue reading
In July 2018, the Securities and Exchange Commission (SEC) charged two real estate investment (REIT) funds, which are among those in Texas-based United Development Funding (UDF), and four executives and ordered them to pay $8.2 million in fines and payments … Continue reading
In June 2018, the Securities and Exchange Commission (SEC) sanctioned Morgan Stanley Smith Barney to pay a $3.6 million penalty for its failure to protect against its personnel misusing or misappropriating funds from client accounts. Morgan Stanley previously repaid the … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Paulson Investment Company LLC financial advisor Ahmed Gheith (CRD# 5783951) who is alleged to engage in selling away private investments from his … Continue reading
Perry Santillo (no CRD available) was convicted of conspiracy to commit mail fraud, mail fraud and conspiracy to launder money. It is reported that Perry Santillo operated a $102 million Ponzi scheme that defrauded more than 1,000 investors. In January … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Paul Colchamiro (CRD# 2039083) regarding excessive and unauthorized trading in customer accounts. Colchamiro has been registered with Oppenheimer & Co. Inc. in Melville, New York since 1998. In March … Continue reading