Category: ETF/Inverse ETF Articles
In November 2017, a former client of Royal Alliance Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $186,538, as well as $28,925.00 in costs, and $65,288 in attorneys’ fees for losses sustained from a predominantly … Continue reading
Erez Law is currently investigating former G.F. Investment Services, LLC financial advisor Daniel Hushek III (CRD# 4250117) regarding losses sustained from non-traditional exchange traded funds (ETFs). Hushek has been registered with G.F. Investment Services, LLC in Sarasota, Florida from 2005 … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Jay Jordan (CRD# 1776666) regarding unsuitable purchases of non-traditional ETFs. Jordan has been registered with WFG Investments, Inc. in Oklahoma City, Oklahoma from 2005 to April 2016 when he … Continue reading
Erez Law is currently investigating H. Beck, Inc. financial advisor James Dresselaers (CRD# 1106109) regarding his recommendations to invest in unsuitable exchange-traded funds (ETFs). Dresselaers has been registered with H. Beck, Inc. in Bethesda, Maryland since 2003. In October 2017, … Continue reading
Erez Law is currently investigating former G.F. Investment Services, LLC financial advisor Richard Martin (CRD# 723309) regarding non-traditional ETFs. Martin was registered with G.F. Investment Services, LLC in Penang, Florida from July 2009 to April 2014 and from April 2014 … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Cory Brunell (CRD# 3260340) regarding losses sustained from unsuitable recommendations in inverse exchange traded funds (ETFs). Brunell was registered with LPL Financial LLC in Valley Springs, California from 2007 … Continue reading
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 recommendations from brokerage firms across the country who recommended investments in ProShares Ultra VIX Short Term Futures Exchange Traded Funds (UVXY). UVXY provides leveraged exposure to the S&P 500 VIX Short-Term Futures Index, which measures … Continue reading
In February 2017, a former Sigma Financial Corporation and Sigma Planning Corporation client won an award in a FINRA arbitration for compensatory damages in the amount of $295,000 for unsuitable sales of leveraged exchange-traded funds (ETFs) and failure to execute … Continue reading
Erez Law is currently investigating The GMS Group, LLC financial advisor Jason Figueroa (CRD# 5062799) regarding unsuitable trading in nontraditional exchange traded funds (ETFs) in customer accounts. Figueroa was registered with The GMS Group, LLC in Boca Raton, Florida from … Continue reading