Author: Jeff Erez
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
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is investigating customer complaints against VFG Securities and brokerage firms across the United States for overconcentration of Macquarie Equipment Leasing Fund, LLC, a private placement. Based in Australia, Macquarie Equipment Leasing Fund provides individual investors in the United … Continue reading
Erez Law is currently investigating former Credit Suisse Securities financial advisor Sanford Michael Katz (a.k.a. Sandy) (CRD# 1558898) regarding breach of fiduciary duty in connection with the purchase and recommendation of mutual fund shares for his clients. Katz has been … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kirk J. Gill (CRD# 2291503) regarding unsuitable and overconcentrated investments. Gill was registered with First Financial Equity Corporation in Tucson, Arizona from 2016 to 2018, when he was terminated regarding, “Failure … Continue reading