Author: Jeff Erez
Erez Law is currently investigating former Royal Alliance Associates, Inc. broker Gary Basralian (CRD# 14385) for unsuitable investment recommendations. Basralian was registered with Royal Alliance Associates, Inc. in Maplewood, New Jersey from 1989 to December 2017, when he was terminated … Continue reading
In March 2018, FINRA fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect “red flags” or suspicious activity connected to its sale of low-priced securities. Additionally, the Securities and Exchange … Continue reading
Erez Law is currently investigating Robert W. Baird & Co. Incorporated financial advisor Patrick Powell (CRD# 1041980) regarding unsuitable investments. Powell has been registered with Robert W. Baird & Co. Incorporated in Racine, Wisconsin since 1996. Powell has been the … Continue reading
There are options for customers of former Western International Securities, Inc. broker Bradley Mascho (CRD# 2039720) who is alleged to take part in the DJBennett fraud scheme. Bradley Mascho was registered with Western International Securities, Inc. in Frederick, Maryland from … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients invest in Hard Rock Exploration, Inc., an independent oil and gas development company out of Charleston, West Virginia. Hard Rock Exploration, Inc. sponsored drilling programs such … Continue reading
Erez Law recently filed a $330,000 FINRA arbitration against Hennion & Walsh for losses sustained from investments in high risk Puerto Rico bonds. The Erez Law customer alleges that John Tsoukala (CRD #4428102), who has been a registered representatives of … Continue reading
Were you the victim of LPL Financial LLC financial advisor Stephen Garrett (CRD# 218223) regarding oil and gas sector losses? Garrett has been registered with LPL Financial LLC in Monrovia, California since 1993. Over the past few years, oil prices … Continue reading
Erez Law recently filed a $675,000 FINRA arbitration against Morgan Stanley Smith Barney LLC (Morgan Stanley). Their customer alleges that Tom Puentes (CRD #1713812) caused them massive losses in high risk, uninsured and unsuitable Puerto Rico bonds. The Erez Law … Continue reading
Did you lose money investing with J.J.B. Hilliard, W.L. Lyons, LLC financial advisor John Gordinier II (CRD# 2363965) in the high risk oil and gas sector? Gordinier has been registered with J.J.B. Hilliard, W.L. Lyons, LLC in Louisville, Kentucky since … Continue reading
There are options for customers of Summit Brokerage Services, Inc. financial advisor Ronald Clark (CRD# 1086724). Clark has been registered with Summit Brokerage Services, Inc. in Tampa, Florida since 2009. In August 2011, FINRA sanctioned Clark to $5,000 in civil … Continue reading