Category: Energy Sector Losses
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. financial advisor Shawn Derek Slaydek (CRD# 2995404) regarding losses from investments in the high risk energy sector and triple leveraged exchange traded funds (ETFs). Slaydek has been registered … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Gregg Brian Weiss (CRD# 2416959) regarding unsuitable recommendations in customer accounts. Weiss has been registered with Coastal Equities, Inc. in York, Pennsylvania since 2016. Previously, Weiss was registered with Morgan … Continue reading
Erez Law is currently investigating UBS Financial Services financial advisors across the country who recommended investments in UBS Reverse Convertible Notes linked to the volatile energy sector. UBS recently settled a claim with the Securities and Exchange Commission (SEC) related … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor David Bruce White (CRD# 1382131) regarding unsuitable investment recommendations concentrated in the high risk oil and gas sector. White has been registered with Centaurus Financial, Inc. in Bloomfield Hills, Michigan … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Charles James Euler Jr. (CRD# 202696) regarding overconcentration in investments in the high risk oil and gas sector. Euler has been registered with Janney Montgomery Scott LLC in Radnor, … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Keith Alva Fontenot (CRD# 2296303) regarding overconcentration in oil and gas stocks. Fontenot has been registered with Wells Fargo in Lafayette, Louisiana since 2003. In one example of broker misconduct, a … Continue reading
Erez Law is currently investigating recommendations from Morgan Stanley and other brokerage firms across the country who recommended their clients invest in Seadrill Ltd., an offshore deepwater drilling contractor. Seadrill and other oil and gas companies have experienced price fluctuations … Continue reading
Erez Law is currently investigating Capital Financial Services, Inc. financial advisor Steven Roland Knuttila (CRD# 3039112) regarding unsuitable recommendations in the high risk oil and real estate sectors. Knuttila has been registered with Capital Financial Services, Inc. in Perham, Minnesota … Continue reading
Erez Law is currently investigating First Kentucky Securities Corp. financial advisors who recommended investment portfolios concentrated in the high risk energy sector. Recently, a former Louisville, Kentucky-based First Kentucky Securities Corp. customer alleged that she suffered losses due to an … Continue reading
Erez Law is currently investigating Wunderlich Securities, Inc. financial advisor Ralph E. DeRose (CRD# 721488) regarding over concentration in high risk oil and gas investments. DeRose has been registered with Wunderlich Securities, Inc. in Beachwood, Ohio since 2010. In April … Continue reading