Author: Jeff Erez
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
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