Author: Jeff Erez
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Jack Griffith Jr. (CRD# 1446978) regarding energy sector losses. Griffith has been registered with Janney Montgomery Scott LLC in Columbia, South Carolina since 2014. Previously, he was registered with … Continue reading
Erez Law is currently investigating First Standard Financial Company LLC financial advisor William Gennity (CRD# 4913490) regarding excessive and unauthorized trading, use of discretion in customer accounts, unsuitable recommendations and other securities violations. Gennity has been registered with First Standard … Continue reading
Erez Law recently filed a FINRA arbitration against RBC Capital Markets, LLC on behalf of four customers. The two couples, who were residents of Jensen Beach and Pompano Beach, Florida, were customers of Samuel Kolton (CRD# 1739664). Koltun has been … Continue reading
Erez Law is currently investigating Hennion & Walsh, Inc. financial advisor Joseph Rodriguez (CRD# 3093506) regarding losses sustained from investments in unsuitable Puerto Rico bonds. Rodriguez has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1998. … Continue reading
Erez Law is currently investigating former Park Avenue Securities financial advisor Lizabeth Gotuaco Ty (Beth Ty) (CRD# 4737319) regarding the sale of unregistered securities and an alleged $114 million Ponzi Scheme. Ty was registered with Park Avenue Securities in Houston, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Ronald Broadstone (CRD# 1043159) regarding unauthorized trading in customer accounts. Broadstone was registered with UBS Financial Services Inc. in New Albany, Ohio from 2007 to April 2017, when … Continue reading
Erez Law is currently investigating Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) regarding unauthorized trades and other acts of securities fraud. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January … Continue reading
Erez Law is currently investigating Enviso Capital, LLC and its principals, Ryan Bowers (CRD #3237368) and Jeffrey LaBerge (CRD #4847129) regarding losses sustained from investments in Bluefin Renewable Energy, LLC, a non-publicly traded company. Enviso Capital, LLC is a California … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. broker Luigi Mancusi (Lou Mancusi) (CRD# 2193040) regarding unauthorized trades in customer accounts. Mancusi has been registered David A. Noyes & Company in Lake Forest, Illinois since 2015. Previously, he … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. and Cetera Advisors, LLC financial advisor Abraham Heimann (CRD# 1315922) regarding unsuitable investments in the high risk energy sector. Heimann was registered with Cetera Advisors in Alpharetta, Georgia from 2013 … Continue reading