Category: Elder Abuse Blog
Former R.M. Stark & Co., Inc. broker Thomas Marino (CRD# 4438533) was barred by FINRA regarding possible misuse of funds from a senior customer. Marino was registered with R.M. Stark & Co., Inc. in Delray Beach, Florida from 2012 to … Continue reading
Did you suffer losses due to investments with former Wedbush Securities Inc. broker William Heiden (CRD# 2885156)? Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, FINRA named Heiden as a … Continue reading
Erez Law is currently investigating former Wedbush Securities Inc. financial advisor William Heiden (CRD# 2885156) regarding investment losses due to unauthorized trades. Heiden was registered with Wedbush Securities Inc. in Newport Beach, California from 2013 to 2018. In January 2018, … Continue reading
Were you the victim of former Morgan Stanley broker Ami Forte (CRD# 2457536)? Forte was registered with Pinnacle Investments, LLC in Syracuse, New York from March to October 2018. Forte was registered with Morgan Stanley in Palm Harbor, Florida from … Continue reading
Were you the victim of elder abuse with former Cetera Advisors LLC financial advisor Stephen Carver (CRD# 2230161)? Carver was registered with the following brokerage forms during the past few years: Lifemark Securities Corp. in Peoria, Illinois (11/08/2017 – 12/31/2018) … Continue reading
Former Wells Fargo Clearing Services, LLC financial advisor James Schaedler Jr. (CRD# 4264512) has nearly $1 million customer complaint regarding misappropriation of funds. Schaedler was registered with Wells Fargo Clearing Services, LLC in Anaheim, California from 2010 to 2017, when … Continue reading
Erez Law is currently investigating financial advisor Henry Wieniewitz (CRD# 4469542) regarding losses sustained from investments in 1st Global. He also goes by Trae Wieniewitz. Wieniewitz was registered with Taylor Capital Management Inc. in Knoxville, Tennessee from 2010 to January … Continue reading
Did you lose money investing UBS Financial Services Inc. financial advisor Dwight West (CRD# 463778)? West has been registered with UBS Financial Services Inc. in Lone Tree, Colorado since 2009. West has been the subject of five customer complaints between … Continue reading
Former Stifel, Nicolaus & Company, Incorporated financial advisor Mitchell Yanow (CRD# 2148171) barred by FINRA for stealing more than $200,000 from an elderly client. Yanow has been registered with Stifel, Nicolaus & Company, Incorporated in Boca Raton, Florida from 2015 … Continue reading
Were you the victim of former Independent Financial Group, LLC financial advisor Kyusun Kim (CRD# 2864085) who is alleged to make unsuitable investment recommendations to senior customers? Kim was registered with Sandlapper Securities, LLC in San Diego, California from 2016 … Continue reading