Author: Jeff Erez
Barred former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) accused of participating in outside business activities related to investments in a Miami nightclub. This is also referred to as selling away or selling investments outside of the firm’s supervision. … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended their clients investment in the Woodbridge Group of Companies. In August 2018, the U.S. Securities and Exchange Commission charged four companies and five individuals – Barry M. Kornfeld … Continue reading
Erez Law recently filed a $630,000 FINRA arbitration against Wells Fargo for Puerto Rico bond losses. Their customers allege that Ralph Bianchi (CRD# 1513063) and Samuel Cannon (CRD# 1513838), who were registered representatives of Wells Fargo, made unsuitable investments in … Continue reading
Erez Law is currently investigating former American Portfolios Financial Services, Inc. financial advisor Gary Forrest (CRD# 1313782) regarding recommendations to invest in the Woodbridge Group of Companies. Forrest was registered with American Portfolios Financial Services, Inc. in Flint, Michigan from … Continue reading
Former Cetera Advisor Networks LLC financial advisor Peter Klass (CRD# 2381681) accused of unsuitable investment recommendations and misrepresentations. Klass was registered with Cetera Advisor Networks LLC in Las Vegas, Nevada from April 2017 to April 2018, when he was terminated … Continue reading
Former Meyers Associates, L.P. financial advisor Bruce Meyers (CRD# 1045447) was barred by FINRA following allegations that he sent, or caused to be sent, misleading and unbalanced advertising materials via email to prospective investors. Meyers was registered with Meyers Associates, … Continue reading
Did you lose money investing with former Northwestern Mutual Investment Services, LLC financial advisor Meaghan Johnson (CRD #5754123) who is alleged to engage in unauthorized account changes and client signature forgery? Johnson has been registered with Northwestern Mutual Investment Services, … Continue reading
Were you the victim of the Ponzi scheme orchestrated by former TransAmerica Financial Advisors, Inc. financial advisor Daniel Glick (CRD# 2175655)? Glick was registered with TransAmerica Financial Advisors, Inc. in Orland Park, Illinois from 2012 to 2014, when he was … Continue reading
Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when … Continue reading
Erez Law is currently investigating Presidential Brokerage, Inc. financial advisor Jason McBride (CRD# 1875972) regarding unsuitable recommendations with regards to real estate investment trusts (REITs) and limited partnerships. McBride has been registered with Presidential Brokerage, Inc. in Greenwood Village, Colorado … Continue reading