Author: Jeff Erez
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
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former The Leaders Group, Inc. financial advisor Mark Reinking (CRD# 1602957). Reinking was registered with The Leaders Group, Inc. in Littleton, Colorado from … Continue reading
Former Morgan Stanley financial advisor David Olson (CRD# 1700644) barred by FINRA for engaging in outside business activities. Olson was registered with Morgan Stanley in St. Petersburg, Florida from 2010 to January 2017, when he was terminated regarding, “RR discharged … Continue reading
Did you lose money investing with Money Concepts Capital Corp. financial advisor Craig Sutherland (CRD# 2001873)? Sutherland has been registered with Money Concepts Capital Corp. in Columbus, Ohio since 1994. In January 2018, FINRA suspended Sutherland for 15 days and … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Michael Blake (CRD# 2022161) regarding losses from a pooled investment fund. Blake was registered with Mid Atlantic Capital Corporation in Paradise Valley, Arizona from May to October 2013 and … Continue reading
There are options for customers of McNally Financial Services Corporation financial advisor Barrett Schultz (CRD# 2741114) who suffered investment losses. Schultz has been registered with McNally Financial Services Corporation in San Antonio, Texas since 2006. Schultz has been the subject … Continue reading