Category: Churning
Were you the victim of Wells Fargo Clearing Services, LLC broker Jonathan Bourgeois (CRD# 5757664)? He has been registered with Wells Fargo Clearing Services, LLC in San Diego, California, since 2011. Jonathan Bourgeois Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Leonard Rich (CRD# 375427). He has been registered with Joseph Gunnar & Co. LLC in Uniondale, New York since 2003. He was previously registered with Kirlin Securities Inc. in … Continue reading
Were you the victim of former SW Financial broker John Girgis (CRD# 5021526)? He was registered with SW Financial in New York, New York, from 2019 to 2023, and previously with Worden Capital Management LLC in New York, New York … Continue reading
Former SW Financial broker Michael Blumer (CRD# 4861312) faces a complaint related to excessive trading allegations. He was registered with Spartan Capital Securities, LLC in New York, New York from May to July 2023. Previously, he was registered with the … Continue reading
Were you the victim of investment losses due to unsuitable municipal bond portfolio recommendations by your UBS Financial Services Inc. investment broker? According to public records, a former client of UBS Financial Services Inc. filed a $10 million customer complaint … Continue reading
Independent Financial Group, LLC broker Stewart Ginn (CRD# 4503197) is accused of churning and excessively trading client accounts. He has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015. Previously, he was registered with Navian Capital … Continue reading
Former Aegis Capital Corp. broker Jack Terzi (CRD# 7008502) is accused of churning and unsuitable investment recommendations and unauthorized trades. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Levittown, New York, since 2022. Previously, he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Pruco Securities, LLC broker Paul Lekousis (CRD# 2545673), who suffered insurance losses. He has been registered with Pruco Securities, LLC in Downers Grove, Illinois, … Continue reading
Erez Law is currently investigating former Joseph Stone Capital L.L.C. broker Ross Barish (CRD# 3094364), who was recently barred by the SEC related to an alleged fraud resulting in more than $800,000 in losses to retail customers. He was registered … Continue reading
Former Worden Capital Management LLC broker Richard Reynolds (CRD# 2162706) has multiple complaints related to churning, unsuitable, and unauthorized trading, resulting in investment losses. He was registered with SW Financial in Melville, New York, from 2021 to 2022. Previously, he … Continue reading