Category: ETF/Inverse ETF Articles
Erez Law recently filed a FINRA arbitration against Morgan Stanley. Their customer alleges investment losses due to recommendations by Morgan Stanley broker Sean Righter (CRD#5419832). Sean Righter has been a registered representative of Morgan Stanley in Irvine, California, since 2009. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Arive Capital Markets broker Lon Faccini, Jr. (CRD# 2736849). He was registered with Arive Capital Markets in Coram, New York, from 2016 to … Continue reading
Were you the victim of Raymond James Financial Services, Inc. broker Jason Kunz (CRD# 4565340) regarding exchange traded funds (ETFs) losses due to investment fraud? He has been registered with Raymond James Financial Services, Inc. in Phoenix, Arizona since 2014. … Continue reading
In February 2022, Massachusetts securities regulators filed an administrative complaint against Purshe Kaplan Sterling Investments and seeks to require the firm to pay $2.3 million in restitution for ignoring, for many years, the sale of risky, complex exchange traded funds … Continue reading
There are options for clients of former LPL Financial LLC broker James Couture (CRD# 4406284) who suffered investment losses. He was registered with LPL Financial LLC in Worcester, Massachusetts, from 2009 to 2020, when he was terminated regarding “Altered identifying … Continue reading
Erez Law recently filed a FINRA arbitration against Benjamin F. Edwards & Company Inc. related to investment losses with broker Thomas Kintz (CRD #2667817), who has been a registered representative of Benjamin F. Edwards & Company Inc. in Boynton Beach, … Continue reading
Did you lose money investing with Classic, LLC broker Douglas Schmitz (CRD# 1771132)? Schmitz has been registered with Classic, LLC in Fargo, North Dakota since 2012 and with Classic Asset Management, LLC in North Fargo, North Dakota since 2006. Schmitz … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, LLC broker Arthur Hoffman (CRD# 3193754) regarding a fraudulent Ponzi scheme. He was registered with Ameriprise Financial Services, LLC in Glendale, Arizona from 2016 to 2020, when he was terminated regarding, … Continue reading
Did your broker recommend you invest in Oil-Linked Exchange-Traded Products (ETPs) and you suffered investment losses? Brokers across the country recommended their clients invest in unsuitable oil, gas, and energy investments, which suffered significant declines when the market crashed due … Continue reading
In May 2020, FINRA fined SunTrust Investment Services $634,000, which included a $50,000 fine and $584,466 in restitution to customers, following settled charges that the firm failed to properly supervise brokers who recommended their clients hold non-traditional exchange-traded funds (ETFs) … Continue reading