Author: Jeff Erez
Former Allegis Investment Services, LLC broker Staci Compagno (CRD# 2824392) faces a $2 million customer complaint for unauthorized trading. She was registered with DFPG Investments, LLC in Sandy, Utah, from 2020 to 2022. Previously, she was registered with Allegis Investment … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Travis Jennings (CRD# 5753812) regarding GWG Holding Inc.’s L Bonds losses. He was registered with Dempsey Lord Smith, LLC in Tampa, Florida, from 2018 to 2019. Travis Jennings Customer Complaints … Continue reading
There are options for clients of Center Street Securities, Inc. broker Michael Mirich (CRD# 1979328), who suffered losses due to unsuitable investment recommendations. He has been registered with Center Street Securities, Inc. in Escondido, California, since 2015, and with Arete … Continue reading
Former American Equity Investment Corporation broker Kenneth Baize (CRD# 5713738) is accused of investment losses related to GWG Holdings Inc. He has been registered with LPL Financial LLC in Louisville, Kentucky, since 2019. Previously, he was registered with American Capital … Continue reading
Former Raymond James Financial Services, Inc. broker Libertad Contreras (CRD# 4649349) is accused of Northstar Financial Services (Bermuda) investment losses. He has been registered with Flourish Financial LLC in New York, New York, since 2019. Previously, he was registered with … Continue reading
UBS Financial Services Inc. broker Raymond Byers (CRD# 2590926) is accused of unsuitable investment recommendations related to options losses. He has been registered with UBS Financial Services Inc. in Mishawaka, Indiana, since 2009. Raymond Byers Customer Complaints He has been … Continue reading
There are options for clients of Morgan Stanley broker Matias Cavalieri (CRD# 2972465) who lost money investing. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Matias Cavalieri Customer Complaints He has been the subject of two … Continue reading
Erez Law is currently investigating Cetera Advisors LLC broker Stephen Lawler (CRD# 1193477), who faces multiple customer complaints related to unsuitable investment recommendations related to real estate securities. He has been registered with Cetera Advisors LLC in Peoria, Illinois, since … Continue reading
Morgan Stanley broker Juan Elwaw (CRD# 2299668) faces a $2.9 million customer complaint related to breach of fiduciary duty that caused investment losses. He has been registered with Morgan Stanley in Miami, Florida, since 2009. Juan Elwaw Customer Complaints He … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Epoch Fort Collins Delaware Statutory Trusts (DSTs). Regrettably, as is the case with private placements, investors rely on the recommendations from their investment advisors and … Continue reading