Author: Jeff Erez
Erez Law recently filed a FINRA arbitration against International Assets Advisory, LLC. The Erez Law client alleges that Michael Spolar (CRD# 2192992), who was a registered representative of International Assets Advisory, LLC, implemented a speculative and unsuitable investment strategy without … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Walter Valenzuela (CRD# 2280224) regarding investment losses due to unsuitable investment recommendations. Valenzuela has been registered with Hilltop Securities Inc. in Del Mar, California since 2008. Valenzuela has been the … Continue reading
Have you suffered losses due to investments with Ameriprise Financial Services, Inc. financial advisor Michael Pepe (CRD# 1172861)? Pepe has been registered with Ameriprise Financial Services, Inc. in Tampa, Florida since 2015. Previously, Pepe was registered with JHS Capital Advisors, … Continue reading
Were you the victim of former Raymond James & Associates, Inc. financial advisor James Lyons (CRD# 1020397)? Lyons has been registered with Raymond James & Associates, Inc. in Shreveport, Louisiana from 2013 to May 2017, when he was terminated regarding, … Continue reading
Former Raymond James Financial Services, Inc. broker Taek Chong (CRD# 1551473) has more than $2 million in customer complaints regarding overpayment of commissions. It is alleged that Chong engaged in defalcation, which is misappropriation of funds by a person trusted … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Pronovost (CRD# 1990612) regarding losses due to investments in LJM funds. Pronovost has been registered with Cambridge Investment Research, Inc. in Watertown, Connecticut since 2008. If your Pronovost … Continue reading
Erez Law is currently investigating brokers around the country who recommended their customers invest in GPB Capital Holdings. According to public records, in August 2018, GPB Capital Holdings, a seller of high-risk, high-commission private placements, ceased raising capital from investors. … Continue reading
Benjamin & Jerold Brokerage I, LLC financial advisor Juergen Weber (CRD# 2617323) was recently barred by FINRA for unsuitable recommendations and unauthorized trades. Weber was registered with Benjamin & Jerold Brokerage I, LLC in New York, New York from 2011 … Continue reading
Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated financial advisor Stephen Hurtuk (CRD# 848484) who was recently barred by FINRA for unsuitable recommendations. Weber was an industry veteran who began his career at Merrill Lynch in New York, … Continue reading
Merrill Lynch broker Christopher Hibbard (CRD# 3176484) faces multiple customer complaints for misappropriation of funds. Hibbard has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Louisville, Kentucky from 2010 to January 2018 when he was terminated regarding, … Continue reading