Author: Jeff Erez
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Stephen Mosley (CRD# 4900781) regarding participating in outside business activities not vetted by his member firm. Mosley was registered with Ameriprise Financial Services, Inc. in Lake Havasu, Arizona … Continue reading
Erez Law is currently investigating former FSC Securities Corporation financial advisor Tim Cannady (CRD# 5267061) regarding bank fraud and a fraudulent investment fund. Cannady was registered with Roosevelt Equity Corporation in Charlotte, North Carolina from May to November 2011. Previously, … Continue reading
Erez Law is currently investigating former Metlife Securities Inc. financial advisor James Kolf (CRD# 1015682) regarding unsuitable investment recommendations. Kolf was registered with NYLIFE Securities LLC in Madison, Wisconsin from May to August 2016. Previously, he was registered with Metlife … Continue reading
Erez Law is currently investigating former Jefferies & Company, Inc. financial advisor Jesse Litvak (CRD# 2921134) regarding securities fraud violations. Litvak was registered with and acted as managing director of Jefferies & Company, Inc. in Stamford, Connecticut from 2008 to … Continue reading
Erez Law is currently investigating former Princor Financial Services Corporation financial advisor Matthew Geiser (CRD# 4203782) regarding unsuitable recommendations and misleading statements about variable annuities to his customers. Geiser was with Independent Financial Group, LLC in Grand Island, Nebraska from … Continue reading
Erez Law is currently investigating financial advisors across the country registered with brokerage firms including UBS Financial Services, Morgan Stanley, Merrill Lynch, Wells Fargo, RBC Capital Markets, Santander, Popular Securities and Oriental Financial Services, regarding investment recommendations in Puerto Rico … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Travis Dillard (CRD# 1741428) regarding unsuitable investment recommendations. Dillard has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since August 2015. Previously, he was registered with Morgan … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Jim Seol (CRD# 2876279) regarding outside business activities that generated $150 Million in private transactions. Seol was registered with Ameriprise Financial Services, Inc. in Irvine, California from 1997 … Continue reading
Erez Law is currently investigating former U.S. Bancorp Investments, Inc. financial advisor Shannon Daniels (CRD# 4606771) regarding securities fraud and theft of funds. Daniels was registered with U.S. Bancorp Investments, Inc. in Bloomfield, Missouri from 2011 to 2016 when she … Continue reading
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