Author: Jeff Erez
Did you lose money investing with former Western International Securities, Inc. financial advisor Jed Tinder (CRD# 1013144)? Tinder was registered with Western International Securities, Inc. in Missoula, Montana from 2005 to 2016. Previously, Tinder was “permitted to resign” from Prudential … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Herbert J. Sims & Co. Inc. financial advisor Larry Wolfe (CRD# 502361) regarding over concentrating customer portfolios in structured notes and junk … Continue reading
Were you the victim of former UBS Financial Services Inc. financial advisor Walter Stucker (CRD# 2197844) regarding energy sector losses? Stucker has been registered with Wells Fargo Clearing Services, LLC in Fort Worth, Texas since May 2017. Previously, Stucker was … Continue reading
Did you lose money investing with former LPL Financial LLC financial advisor Sanders Spangler (CRD# 4188542) in the high risk energy sector? Spangler has been registered with LPL Financial LLC in San Antonio, Texas from 2005 to March 2017, when … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor Mark Katz (CRD# 2155766) regarding unsuitable investment recommendations. Katz has been registered with UBS Financial Services Inc. in Houston, Texas since 2008. Katz has been the subject of two … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Wells Fargo Clearing Services, LLC financial advisor David Ridenour (CRD# 4941433). Ridenour has been registered with Wells Fargo Clearing Services, LLC in Edmond, … Continue reading
In March 2018, Erez Law obtained an award (view here) against UBS Financial Services Incorporated and UBS Financial Services Incorporated of Puerto Rico (“UBS”) in a FINRA arbitration for $1.88 million for losses sustained from investments in closed-end bond funds sold through … Continue reading
Were you the victim of former Morgan Stanley financial advisor Thomas Meier (CRD# 1146044) due to unauthorized transactions and discretionary trading? Meier was registered with Morgan Stanley in Miami, Florida from 2009 to April 2016. In March 2018, FINRA barred … Continue reading
Did you lose money investing with former Vanderbilt Securities, LLC financial advisor Mark Kaplan (CRD# 1978048)? Kaplan was registered with Vanderbilt Securities, LLC in Woodbury, New York from 2011 to 2018. Previously, he was registered with Morgan Stanley Smith Barney … Continue reading
There are options for customers of former Next Financial Group, Inc. financial advisor Joseph Cotter (CRD# 1263122). Cotter was registered with Petersen Investments, Inc. in Charlotte, North Carolina from March 2016 to May 2017, when he was terminated regarding, “On … Continue reading