Category: Churning
There are options for customers of former Salomon Whitney Financial financial advisor Douglas Leone (CRD# 2453784) regarding unsuitable recommendations and excessive trading involving multiple customers. Leone was registered with Salomon Whitney Financial in Melville, New York from 2013 until March … Continue reading
Did you lose money investing with former SW Financial financial advisor Yousuf Saljooki (CRD# 5045123)? Saljooki was registered with Worden Capital Management LLC in Melville, New York from December 2017 until April 2018, when he was terminated regarding, “RR failed … Continue reading
There are options for customers of Morgan Stanley financial advisor Peter Lewis (CRD# 1174949) who is alleged to engage in excessive trading. Lewis has been registered with Morgan Stanley in Las Vegas, Nevada since 2009. Lewis has been the subject … Continue reading
Did you lose money investing with former Vanderbilt Securities, LLC financial advisor Mark Kaplan (CRD# 1978048)? Kaplan was registered with Vanderbilt Securities, LLC in Woodbury, New York from 2011 to 2018. Previously, he was registered with Morgan Stanley Smith Barney … Continue reading
There are options for customers of former Next Financial Group, Inc. financial advisor Joseph Cotter (CRD# 1263122). Cotter was registered with Petersen Investments, Inc. in Charlotte, North Carolina from March 2016 to May 2017, when he was terminated regarding, “On … Continue reading
Erez Law is currently investigating Four Points Capital Partners LLC financial advisors Zachary Berkey (CRD# 2884767) and Daniel Fischer (CRD# 2796625) regarding unsuitable recommendations and churning in customer accounts. In December 2017, the Securities and Exchange Commision (SEC) charged Berkey … Continue reading
There are options for customers of former Laidlaw & Company financial advisor Patrick Maddren (CRD# 4665903) regarding losses sustained from unauthorized trading, churning and unsuitable investment recommendations. Maddren has been registered with Westpark Capital, Inc. in Fort Lauderdale, Florida since … Continue reading
Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading
Erez Law is currently investigating former Forefront Capital Markets LLC financial advisor Demitrios Hallas (CRD# 4199832) regarding excessive trading and churning in customer accounts. Hallas was registered with the following brokerage firms, to name just a few: PHX Financial, Inc. … Continue reading
Erez Law is currently investigating former Raymond James & Associates financial advisors Angela Graham West (CRD# 3004083) and Leon Rehak (CRD# 2331058) regarding unsuitability and excessive trading in the accounts of a retired customer. It has been recently reported that … Continue reading