Author: Jeff Erez
Erez Law is currently investigating Ausdal Financial Partners, Inc. broker Brian Napier (CRD# 4555202) regarding GWG Holdings Inc. L Bonds investment losses. He has been registered with Ausdal Financial Partners, Inc. in Indianapolis, Indiana, since 2013. Brian Napier Customer Complaints … Continue reading
Can I recover investment losses in hedge funds with Morgan Stanley broker Frank Seminara (CRD# 2785718)? He has been registered with Morgan Stanley in Palm Beach, Florida, since 2012. Frank Seminara Customer Complaints He has been the subject of one customer … Continue reading
Erez Law filed three claims against UBS Financial Services Inc. and brokers Christopher Black (CRD# 2186558) and William Huthnance (CRD# 4326519) related to the UBS Financial Services Inc. Yield Enhancement Strategy (YES). Christopher Black was a registered representative of … Continue reading
Erez Law is currently investigating Credit Suisse and its brokers who unsuitably recommended Credit Suisse contingent convertible bonds (CoCo bonds) to their clients, resulting in investment losses related to due diligence failures in AG bonds, including: Credit Suisse 7.500% Perpetual … Continue reading
Erez Law is currently investigating former Kalos Capital, Inc. broker Joseph Roop (CRD# 2774470) regarding unsuitable investment recommendations. He has been registered with Dempsey Lord Smith, LLC in Belmont, North Carolina, from 2019 to 2021. Previously, he was registered with … Continue reading
Former Raymond James Financial Services, Inc. broker William Winchester III (CRD# 4404327) was barred by FINRA. He was registered with Cadaret, Grant & Co., Inc. in Chattanooga, Tennessee, from 2020 to 2012 and prior to then with Raymond James Financial … Continue reading
Were you the victim of Infinex Investments, Inc. broker Eric Garcia (CRD# 5909532)? He has been registered with Infinex Investments, Inc. in Coral Gables, Florida, since 2016. Eric Garcia Customer Complaints He has been the subject of one customer complaint … Continue reading
Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Brian Cantel (CRD# 1743229) regarding unsuitable investment recommendations? He has been registered with Berthel, Fisher & Company Financial Services, Inc. in Flowery Branch, Georgia, since 2006. Brian … Continue reading
Cambridge Investment Research, Inc. broker Todd Bailey (CRD# 6092793) is accused of stock losses. He has been registered with Cambridge Investment Research, Inc. in Cary, North Carolina, since 2013. Todd Bailey Customer Complaints He has been the subject of one … Continue reading
In May 2023, former clients of Oppenheimer & Co., Inc. won an award in a FINRA arbitration for $6.9 million in compensatory damages plus interest until the date of payment of the award as well as $6.9 million in punitive … Continue reading