Author: Jeff Erez
There are options for clients of former SW Financial and Worden Capital Management LLC broker Peter Girgis (CRD# 4520444), who is accused of unsuitable investment recommendations. He was registered with SW Financial in New York, New York, from 2019 to … Continue reading
Erez Law is currently investigating former Cabot Lodge Securities LLC broker David Arlein (CRD# 7145), who is accused of GWG Holdings Inc. L Bonds investment losses. He was registered with Cabot Lodge Securities LLC in Boca Ration, Florida, from 2014 … Continue reading
Were you the victim of former Independent Financial Group, LLC broker Lei Shen (Peter Shen) (CRD# 5769894), who is accused of unsuitable investment recommendations? He has been registered with Ni Advisors in Orange, California, since 2020. Previously, he was registered … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Mark Gillelen (CRD# 1868626), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered … Continue reading
Former Coastal Equities, Inc. broker Kevin Canterbury (CRD# 4939385) is alleged to have recommended unsuitable GPB Capital Holdings investments. He was registered with Coastal Equities, Inc. in Scottsdale, Arizona, from 2012 to 2020. GPB Capital Holdings is a New York-based … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Joseph LaScala (CRD# 3070261), who is accused of unauthorized trading. He has been registered with Aegis Capital Corp. in Melville, New York, since 2012. In February 2022, FINRA sanctioned him to … Continue reading
There are options for clients of Avantax Investment Services, Inc. broker Saul Rothberger (CRD# 2914820), who lost money due to unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Brooklyn, New York, since 2005. Saul Rothberger … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker Eric Dec (CRD# 2185598) related to investment losses. He was registered with Emerson Equity LLC in San Mateo, California, from 2018 to 2021, and with Sandlapper Securities, LLC in Greenville, … Continue reading
Were you the investment-loss victim of former Summit Brokerage Services, Inc. broker David Stamper (CRD# 2301862)? He has been registered with Cetera Advisor Networks LLC in Cary, North Carolina, since 2019. Previously, he was registered with Summit Financial Group In. … Continue reading
Erez Law is currently investigating Peachcap Securities, Inc. broker John Mateyko (CRD# 3275621), who faces customer complaints related to unsuitable investment recommendations. He has been registered with Peachcap Securities, Inc. and Peachcap Tax & Advisory, LLC in Serenbe, Georgia, since … Continue reading