Author: Jeff Erez
Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Leonard Rich (CRD# 375427). He has been registered with Joseph Gunnar & Co. LLC in Uniondale, New York since 2003. He was previously registered with Kirlin Securities Inc. in … Continue reading
Erez Law is currently investigating VCS Venture Securities broker Rocco Maselli (CRD# 2791357), who is accused of stock losses. He has been registered with VCS Venture Securities in Garden City, New York, since 2021. Previously, he was registered with the … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Damian Baird (CRD# 3097243). He was registered with Moors & Cabot, Inc. in Boston, Massachusetts from 2020 to 2023, with Morgan Stanley in Williamsville, New York, from 2018 to … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services, LLC broker Andrew Egber (CRD# 1894585) who was barred by FINRA. He was registered with Steward Partners Investment Solutions, LLC in Bethesda, Maryland, from 2022 to 2024, where he managed … Continue reading
Former Cambridge Investment Research, Inc. broker Steven Gessner (CRD# 2650114) is accused of unsuitable investment recommendations. He was registered with United Planners’ Financial Services Of America A Limited Partner in Baltimore, Maryland, from 2018 to 2021, and with Cambridge Investment … Continue reading
Former B. Riley Wealth Advisors, Inc. broker Charles Hartley (CRD# 2658276) is accused of stock losses. He was with A.G.P. / Alliance Global Partners in Washington, DC, since February 2024. Previously, he was registered with B. Riley Wealth Advisors, Inc. … Continue reading
J.P. Morgan Securities LLC broker John Beggans (CRD# 2736874) faces a $40 million customer complaint related to managed product investment losses. He has been registered with J.P. Morgan Securities LLC in Boston, Massachusetts, since 2008. John Beggans Customer Complaints He … Continue reading
Can you recover losses due to recommendations by former Triad Advisors LLC broker Dan Wagner Jr. (CRD# 2867278)? He has been registered with Arkadios Capital in Greenville, South Carolina, since 2021, and with Wealth Management Advisors, LLC in Anderson, South … Continue reading
VCS Venture Securities broker Joseph Audia (CRD# 2909761) is accused of unsuitable investment recommendations. He has been registered with VCS Venture Securities in Hauppauge, New York, since 2021. Previously, he was registered with Joseph Stone Capital L.L.C. in Hauppauge, New … Continue reading
There are options for clients of Western International Securities, Inc. broker John Darmanian (CRD# 2899924) who lost money due to corporate debt losses. He has been registered with Western International Securities, Inc. in Montrose, California, since 2009. John Darmanian Customer … Continue reading