Category: Churning
Erez Law is currently investigating former Meyers Associates, L.P. broker Anthony Mastroianni Jr. (CRD# 2151249) regarding excessive trading and churning in customer accounts. He was registered with Meyers Associates, L.P. in New York, New York from 2013 to 2016. In … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Neil Kaplan (CRD# 1615516) regarding excessive trading. He was registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2017. Neil Kaplan Customer Complaints Neil Kaplan has been the subject of … 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 former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Steven Richardson (CRD# 1819383) regarding excessive trading. Steven Richardson has been registered with LPL Financial LLC in Danville, California since 2018. Previously, Steven Richardson was registered … Continue reading
Erez Law is currently investigating former JPMorgan Chase Bank, Na broker Trevor Rahn (CRD# 2196155) regarding excessive and unauthorized trading in customer accounts, including one elderly customer. Trevor Rahn was registered with JPMorgan Chase Bank, Na in Los Angeles, California … Continue reading
Former Vorpahl Wing Securities broker Lee Nordstrom (CRD# 2248261) is accused of excessive trading and over concentration of stocks. Lee Nordstrom was registered with LPL Financial LLC in Spokane, Washington from June to November 2020. Previously, Lee Nordstrom was registered … Continue reading
Were you the victim of former First Standard Financial Company LLC broker Frank Venturelli (CRD# 6403468)? Venturelli was registered with Arive Capital Markets in Bay Ridge, New York from September to December 2019 and with First Standard Financial Company LLC … Continue reading
Were you the victim of former Raymond James & Associates, Inc. broker Guilford Nergard (CRD# 2360614)? Nergard has been registered with San Blas Securities LLC in Atlanta, Georgia since August 2021 and with Newbridge Securities Corporation in Mesa, Arizona from … Continue reading
Can I recover losses from investments with former Spartan Capital Securities, LLC broker Christopher Orlando (CRD# 4136262)? Orlando has been registered with Spartan Capital Securities, LLC in New York, New York from January 2020 to May 2021. Prior to that, … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker William Michetti (CRD# 2185612) who suffered investment losses. Michetti has been registered with Wells Fargo Clearing Services, LLC in Radnor, Pennsylvania since 2000. Michetti has been the subject … Continue reading