Author: Jeff Erez
Corinthian Partners, L.L.C. broker Richard (NMN) Calabrese Mr (CRD# 1549013) is accused of failure to supervise. He has been registered with Corinthian Partners, L.L.C. in New York, New York, since 1996. In March 2019, FINRA sanctioned him to a suspension … Continue reading
Erez Law is currently investigating Morgan Stanley broker Joel Freedman (CRD# 1260557), who is accused of unauthorized trades. He has been registered with Morgan Stanley in West Conshohocken, Pennsylvania, since 2009. In May 1991, National Association Of Securities Dealers, Inc. … Continue reading
Former SW Financial CEO Thomas Diamante (CRD# 1645257) was suspended by FINRA for nine months related to private placement offerings. He was registered with and served as CEO and majority owner of SW Financial in Babylon Village, New York, from … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC broker George Eggers III (CRD# 1228371) regarding unsuitable investment recommendations. He has been registered with Cetera Advisor Networks LLC in Haddon Heights, New Jersey, since 2013. George Eggers III Customer Complaints … Continue reading
Were you the victim of stock losses due to recommendations by Vanderbilt Securities, LLC broker Joseph Johnson (CRD# 1312422)? He has been registered with Vanderbilt Securities, LLC in Woodbury, New York, since 2011 and with Vanderbilt Advisory Services in Woodbury, … Continue reading
Can I recover losses from investments with Janney Montgomery Scott broker John Corello (CRD# 1407750)? He has been registered with Janney Montgomery Scott in Allentown, Pennsylvania, since 1990. John Corello Customer Complaints He has been the subject of one customer … Continue reading
UBS Financial Services Inc. broker James Hilton Sr. (CRD# 1253959) regarding is accused of annuity losses. He has been registered with UBS Financial Services Inc. in Newport, Rhode Island, since 2013. James Hilton Sr. Customer Complaints He has been the … Continue reading
Cambridge Investment Research, Inc. broker Alexander Kline (CRD# 1271785) is accused of real estate investment losses. He has been registered with Cambridge Investment Research, Inc. in Pittsburgh, Pennsylvania, since 2011. Previously, he was registered with Prospera Financial Services, Inc. in … Continue reading
Former Stifel, Nicolaus & Company, Incorporated broker Patty Dawson (CRD# 1280879) faces a million-dollar-plus customer complaint related to negligence accusations. She was registered with Stifel, Nicolaus & Company, Incorporated in Ann Arbor, Michigan, from 2005 to 2023. Patty Dawson Customer … Continue reading
Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Alan Dalewitz (CRD# 1437051) regarding private placement losses. He has been registered with Herbert J. Sims & Co, Inc. in Red Bank, New Jersey, since 2006. Alan Dalewitz … Continue reading