Category: Energy Sector Losses
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Jack Griffith Jr. (CRD# 1446978) regarding energy sector losses. Griffith has been registered with Janney Montgomery Scott LLC in Columbia, South Carolina since 2014. Previously, he was registered with … Continue reading
Erez Law is currently investigating Enviso Capital, LLC and its principals, Ryan Bowers (CRD #3237368) and Jeffrey LaBerge (CRD #4847129) regarding losses sustained from investments in Bluefin Renewable Energy, LLC, a non-publicly traded company. Enviso Capital, LLC is a California … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. and Cetera Advisors, LLC financial advisor Abraham Heimann (CRD# 1315922) regarding unsuitable investments in the high risk energy sector. Heimann was registered with Cetera Advisors in Alpharetta, Georgia from 2013 … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Stephen Taft (CRD# 1927300) regarding losses sustained from investments in oil and gas master limited partnerships (MLPs). Taft has been registered with Morgan Stanley in New York, New York since 2009. … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor Lisa J. Lowi (CRD # 1347790) regarding recommendations for speculative and unsuitable investment strategies of high risk “junk” oil and gas bonds tied to the energy sector. Lowi … Continue reading
Erez Law is currently investigating Wedbush Securities Inc. financial advisor Mark Heiden (CRD# 2885156) who recommended his elderly clients invest in unsuitably risky, high-commission energy limited partnerships. Heiden has been registered with Wedbush Securities Inc. in Newport Beach, California since … Continue reading
In October 2017, a former client of RBC Capital Markets, LLC won an award in a FINRA arbitration for compensatory damages for $688,079 for losses sustained from losses suffered due to investments in oil and gas securities. The investors were … Continue reading
In October 2017, a former client of Stifel, Nicolaus & Company, Inc. won an award in a FINRA arbitration for compensatory damages for $90,000 for losses sustained from investments in the high risk energy sector and other investments. The investors … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Kenneth Fitzpatrick (CRD# 1850858) regarding unsuitable energy sector investments. Fitzpatrick has been registered with Raymond James Financial Services, Inc. in Toms River, New Jersey since 2009. Former clients … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor Harold Lauber (CRD# 811265) regarding energy sector losses. Lauber has been registered with Herbert J. Sims & Co. Inc. in Naples, Florida since July 2015. Previously, he was … Continue reading