Author: Jeff Erez
Erez Law is currently investigating former Concorde Investment Services, LLC financial advisor Jill Tramontano (formerly known as Jill Cody) (CRD# 4333419) regarding misrepresentation, forgery and allowing a suspended broker to engage in securities transactions with his customers while suspended. Tramontano … Continue reading
Erez Law is currently investigating former Bay Mutual Financial, LLC financial advisor Christopher Ariola (CRD# 2957096) regarding unsuitable and unauthorized trades. Ariola was registered with Financial Telesis Inc. in Aliso Viejo, California from 2012 to 2014. Previously, he was registered … Continue reading
Erez Law is currently investigating former National Securities Corporation financial advisor Glenn McDowell (CRD# 2748337) regarding unauthorized transactions. McDowell was registered with Woodstock Financial Group, Inc. in New York, New York from 2013 to 2015. Previously, he was registered with … Continue reading
Were you the victim of former WFG Investments, Inc. broker Damian Bell (CRD# 2348521)? Bell has been registered with International Assets Advisory, LLC in Orlando, Florida since June 2017. Previously, he was registered with WFG Investments, Inc. in Daphne, Alabama … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor Harold Pomeranz (CRD# 365461) regarding unsuitable recommendations of short-term trading of UITs. Pomeranz was registered with Stifel, Nicolaus & Company, Inc. in Garden City, New York from … Continue reading
Erez Law is currently investigating former Red River Securities, LLC financial advisor Brian Hardwick (CRD# 4522460) who was recently barred by FINRA regarding securities fraud. Hardwick was CEO of and was registered with Red River Securities, LLC in Plano, Texas … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Robert Bulloch (CRD# 2541075) regarding use of discretion or unauthorized trading in customer accounts. Bulloch has been registered with Infinity Financial Services in Oakland, California since January 2017. Previously, … Continue reading
Erez Law is currently investigating Noble Capital Markets, Inc. financial advisor Nicolaas Pronk (CRD# 1726101) regarding conflicts of interests in regards to investment recommendations. Pronk has been registered with and president of Noble Capital Markets, Inc. in Boca Raton, Florida … Continue reading
Erez Law is currently investigating former Cadaret, Grant & Co., Inc. financial advisor Charles Deremo (CRD# 713036) regarding unsuitable investment recommendations. Deremo has been registered with Cadaret, Grant & Co., Inc. in Eagan, Minnesota from 1995 to 2016. Deremo is … Continue reading
Erez Law is currently investigating Essex Securities LLC financial advisor Lawrence Thomas (CRD# 1777286) regarding forged customer signatures on firm documents. Thomas has been registered with Essex Securities LLC in North Attleboro, Massachusetts from May 2013 to April 2014 before … Continue reading