Author: Jeff Erez
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor George Puliafico (CRD# 1158596) regarding investment losses due to sector concentration. Puliafico has been registered with Raymond James Financial Services, Inc. in Walpole, Massachusetts since 1999. Puliafico has … Continue reading
Have you experienced investment losses due to recommendations by Investors Capital Corp. financial advisor Nina Jessee (CRD# 1484808)? Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated … Continue reading
Former Next Financial Group Inc. financial advisor Douglas Simanski (CRD# 2606998) settled charges with the Securities and Exchange Commission (SEC) that he operated a $3.9 million fraud. Simanski has been registered with Next Financial in Altoona, Pennsylvania from 1999 to … Continue reading
Erez Law is currently investigating OptionSellers.com and/or INTL FC Stone regarding a reckless options trading strategy. If you suffered investment losses due to investments with OptionSellers.com and/or INTL FC Stone, Erez Law can help. INTL FC Stone is the OptionSellers.com’s … Continue reading
In November 2018, a FINRA arbitration panel awarded eight investors $963,836 for compensatory damages plus $5,000 in costs, $50,000 in attorneys’ fees and the $375 non-refundable filing fee, for a total award of $1,019, 211. The case was regarding unsuitable … Continue reading
Have you suffered losses due to investments with inverse volatility-linked exchange-traded funds (ETFs) when the Chicago Board Options (CBOE) Volatility Index (VIX) Index skyrocketed? If your broker or brokerage firm sold you inverse volatility-linked exchange-traded funds (ETFs) without disclosing the … Continue reading
UBS Financial Services Inc. financial advisor José Gabriel Ramirez-Arone Jr. (CRD# 1519748) pleads guilty to fraudulently obtain and misuse non-purpose credit lines for purchasing securities, resulting in $1,225,500 in improperly generated commissions. Ramirez was registered with UBS Financial Services Inc. … Continue reading
In October 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $34,537.20 for losses sustained from energy sector losses.. The investors were clients of financial advisor Edward Lamson (CRD# 301298). The … Continue reading
In October 2018, a former client of Wells Fargo Advisors Financial Network, LLC settled a FINRA arbitration for compensatory damages for $40,000 for losses sustained from investments in the high risk energy sector. The investors were clients of financial advisor … Continue reading
In October 2018, a former client of UBS Financial Services Inc., Moloney Securities Co., Inc., Moloney Investment Advisory, LLC, and Moloney Securities Asset Management, LLC won an award in a FINRA arbitration for compensatory damages for losses sustained from over-concentrated … Continue reading