Category: ETF/Inverse ETF Articles
In February 2020, the Securities and Exchange Commission (SEC) ordered Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network to pay $35 million for harm to investors, related to charges that Wells Fargo failed to reasonably supervise investment advisers … Continue reading
Erez Law is currently investigating Independent Financial Group, LLC broker Jeffrey Nesseth (CRD# 1983482) regarding unsuitable real estate investment trust (REIT) losses. Nesseth has been registered with Independent Financial Group, LLC in Plano, Texas since 2011. REITs are types of … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPB Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, … Continue reading
Were you the victim of Independent Financial Group, LLC broker Lyle Boudreaux (CRD# 4303420)? Boudreaux has been registered with Independent Financial Group, LLC in Houston, Texas since 2012. Boudreaux was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Key Investment Services LLC broker Dominic Tropiano (CRD# 4761462) regarding non-traditional exchange-traded funds (ETF) losses. Tropiano was registered with America Northcoast Securities, … Continue reading
Were you the victim of former Edi Financial, Inc. broker William Thurmond (CRD# 870133)? Thurmond was registered with Alexander Capital, L.P. in New York, New York from December 2016 to May 2017. Previously, Thurmond was registered with Edi Financial, Inc. … Continue reading
In May 2019, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $519,089, plus 8.75% interest per annum until paid in full for losses sustained from exchange traded fund (ETF) losses. The … Continue reading
Did you lose money investing with former Aegis Capital Corp. financial advisor Eduard Leytman (CRD# 3250307)? Leytman was last registered with Aegis Capital Corp. in New York, New York from 2010 to 2018. Leytman has been the subject of two … Continue reading
Have you suffered losses due to investments with inverse volatility-linked exchange-traded funds (ETFs) when the Chicago Board Options (CBOE) Volatility Index (VIX) Index skyrocketed? If your broker or brokerage firm sold you inverse volatility-linked exchange-traded funds (ETFs) without disclosing the … Continue reading
Erez Law is currently investigating former Financial West Group financial advisor John Simoncic (CRD# 1062932) regarding unsuitable recommendation involving non-traditional exchange traded funds (ETFs). Simoncic was registered with several brokerage firms during the past few years: Financial West Group in … Continue reading