Author: Jeff Erez
Did you lose money investing with former Axiom Capital Management, Inc. broker Jennifer Ling (CRD# 3277203) in Aequitas-related promissory notes? Jennifer Ling was registered with Axiom Capital Management, Inc. in New York, New York from May 2015 to July 2017. … Continue reading
Erez Law is currently investigating brokers and brokerage firms around the country who recommended their clients invest in Venezuelan bonds. If your broker or brokerage firm sold you the Venezuela bonds without disclosing the risks, Erez Law may be able … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker Scott Kozak (CRD# 1272583) regarding engaging in private securities transactions. Kozak was registered with Cetera Advisors LLC in Highlands Ranch, Colorado from 2001 to August 2018 when he was terminated … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisor Hector Gonzalez (CRD# 5330726) who is alleged to recommend unsuitable Puerto Rico bonds. Gonzalez has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Guaynabo, Puerto Rico since 2010. … Continue reading
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