Author: Jeff Erez
Erez Law is currently investigating International Assets Advisory, LLC financial advisor Dennis Coral (CRD# 4561718) regarding sales of Puerto Rico bonds. Coral has been registered with International Assets Advisory, LLC in Orlando, Florida since 2017. Coral was with Suntrust Investment … Continue reading
Erez Law is currently investigating former Merrill Lynch financial advisor Jeffrey Timothy Kluge (CRD# 2187964) regarding fraud and breach of contract. Kluge was registered with Merrill Lynch in Saint Paul, Minnesota from 1991 to 2016. On April 10, 2017, FINRA … Continue reading
Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. financial advisor Jerry Dewayne McCutchen Sr. (CRD# 1076678) regarding unsuitable recommendations with regard to the purchase of certain alternative investments. McCutchen was registered with Berthel, Fisher & … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Robert Alfred Dennison (CRD# 2674594) regarding unsuitable and overconcentrated investment recommendations in Puerto Rico bonds. Dennison has been registered with Morgan Stanley in West Palm Beach, Florida since 2013. Dennison was … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisor Charles Caleb Fackrell (CRD# 5369665) regarding securities fraud and involvement in a $1.4 million Ponzi scheme. A Ponzi scheme is a form of fraud in which belief in the success … Continue reading
Erez Law is currently investigating Commonwealth Financial Network financial advisor Lloyd Henry Dotson (CRD# 2551716) regarding private securities transactions and conducting outside business activities. Dotson has been registered with Commonwealth Financial Network in New Canaan, Connecticut from 2006 before he … Continue reading
Erez Law is currently investigating former UBS Financial Services financial advisor William Andrew Hightower (CRD# 2152369) regarding recommendations for investments in unapproved private securities transactions. Hightower was registered UBS Financial Services Inc. in Houston, Texas from 2007 to 2013 and … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Donnie Eugene Ingram (CRD# 1416971) regarding unsuitable investment recommendations. Ingram was registered with Investors Capital Corp. in Winter Haven, Florida from 1997 to 2016. He has been registered with … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Paul Anthony (CRD# 1157930). Anthony was registered with Rhodes Securities in Forth Worth, Texas from 1995 to 2015. Anthony was terminated from his employment at Rhodes Securities regarding … Continue reading
Erez Law is currently investigating former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) regarding outside business activities for an unregistered and illiquid company. Parthemer was registered with Wells Fargo in Fort Lauderdale, Florida from 2011 to 2015 and Morgan … Continue reading