Author: Jeff Erez
Did you lose money investing in mutual funds due to investment fraud with Robert W. Baird & Co. broker Edmund Murphy (CRD# 2145807? He was registered with Robert W. Baird & Co. Incorporated in Naples, Florida from 1999 to 2021. … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Chadwick Collins (CRD# 2597677) regarding stock losses. He has been registered with Wedbush Securities Inc. in Carlsbad, California since February 2022. Previously, he was registered with Kestra Investment Services, … Continue reading
Erez Law is currently investigating Morgan Stanley broker Mark Payne (CRD# 6803556) regarding unsuitable options trading strategies. Mark Payne has been registered with Morgan Stanley in Roseville, California since 2017. Mark Payne Customer Complaints Mark Payne has been the subject … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Bradford Bugher (CRD# 2314651) regarding common and preferred stocks. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wilmington, Delaware since 1993. Bradford … Continue reading
Erez Law is currently investigating former Triad Advisors, Inc. broker Kenneth Luccioni (CRD# 719779) who is accused of unsuitable investment recommendations. Kenneth Luccioni was registered with Triad Advisors, Inc. in Park Ridge, Illinois from 2000 to 2016. In November 2018, … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Chad Barancyk (CRD# 4921433) regarding unsuitable alternative investment recommendations. Chad Barancyk has been registered with Great Point Capital LLC in Chicago, Illinois since February 2021. Previously, he was registered … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Joshua Nicholas (CRD# 6529944) regarding outside business activities, also known as selling away. Joshua Nicholas was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Erez Law is currently investigating former Edward Jones broker John Winslow (CRD# 3071933) regarding broker misconduct that involved stolen funds. John Winslow was registered with Edward Jones in Gig Harbor, Washington from 2013 to 2021, when he was terminated regarding, … Continue reading
Erez Law is currently investigating former Worden Capital Management LLC broker William Athas (CRD# 3165470) regarding unsuitable investment recommendations and excessive trading. William Athas was registered with SW Financial in Melville, New York from 2020 to 2021. Previously, he was … Continue reading
Erez Law is currently investigating Royal Alliance Associates, Inc. broker Mark Young (CRD# 1800687) regarding private placement investment losses. Mark Young has been registered with Royal Alliance Associates, Inc. in Topeka, Kansas since 2006. Mark Young Customer Complaints Mark Young … Continue reading