Category: Churning
Erez Law is currently investigating former Morgan Stanley financial advisor Mohamed Yassin (CRD# 1673281) regarding investment losses due to excessive trading. Yassin was registered with National Securities Corporation in Westbury, New York from September 2017 to July 2018. Previously, Yassin … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) regarding excessive and unsuitable closed end fund (CEF) transactions. Mewhinney was registered with Morgan Stanley in Dallas, Texas from 2009 to 2018. Mewhinney has been … Continue reading
In February 2019, FINRA former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) to 40 months in prison following a guilty plea to one count of securities fraud in October 2017. Buck was registered with RBC … Continue reading
Erez Law is currently investigating Ron Carson (CRD# 1238219), who is head of Carson Wealth Management, regarding excessive fees. Carson Wealth Management is one of the most recognizable names in the financial advisory business. The firm is being sued by … Continue reading
Were you the victim of Coastal Equities, Inc. financial advisor Sam Aziz (CRD# 1721932)? Aziz was registered with David A. Noyes & Company in Dublin, Ohio from July to November 2018, when he was terminated regarding, “While under internal investigation, … Continue reading
In January 2019, two former clients of Capitol Securities Management, Inc. won an award in a FINRA arbitration for compensatory damages for a total of $2.38 million for losses sustained from excessive trading, unauthorized fund transfers and withdrawals, and fraud. … Continue reading
Have you suffered losses due to former Morgan Stanley financial advisor Justin Amaral (CRD# 4440980) who is alleged to engage in excessive and unauthorized trading? Amaral was registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former J.W. Cole Financial, Inc. financial advisor William Downing (CRD# 1529382). Downing was registered with Coastal Equities, Inc. in Wimberley, Texas from August … Continue reading
Did you lose money investing with Worden Capital Management LLC brokers Donald Fowler (CRD# 4989632) and Gregory Dean (CRD# 4922996) who are accused of churning in customer accounts? Donald Fowler Regulatory Sanctions In August 2021, FINRA barred Donald Fowler after … Continue reading
Newbridge Securities Corporation financial advisor Dana Davis (CRD# 1707708) is accused of unsuitable investment recommendations and excessive trading. Davis has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previously, Davis was registered with First Montauk … Continue reading