Category: Current Investigations
Have you been advised by your Patrick Capital Markets broker or investment advisor to invest in syndicated conservation easements? Erez Law is investigating brokers and investment advisors nationwide who have recommended that their clients invest in syndicated conservation easement transactions. … Continue reading
Erez Law recently filed a FINRA arbitration against Truist Investment Services, Inc. (fka Suntrust Investment Services, Inc.) related to Northstar Financial Services (Bermuda) investment losses. Their customers allege that Manuel Fernandez (CRD #3079976), who was a registered representative of Truist … Continue reading
Erez Law recently filed a FINRA arbitration against USCA Securities LLC related to recommendations by Patrick Mendenhall (CRD #1068809), who is the founder and CEO of USCA Securities LLC in Houston, Texas. The complaint alleges that USCA Securities LLC actions … Continue reading
Erez Law recently filed a FINRA arbitration against Citizens Securities Inc. related to Colorado Bankers Life Annuities. Their customer alleges that William Torrance (CRD #5086449), who was a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, … Continue reading
Erez Law recently filed a FINRA arbitration against Shawn Spellacy (CRD #2275119), who has been a registered representative of Calton & Associates, Inc. in Fair Oaks, California, since 1999. The Erez Law client, who was a retired former small business … Continue reading
Erez Law filed three claims against UBS Financial Services Inc. and brokers Christopher Black (CRD# 2186558) and William Huthnance (CRD# 4326519) related to the UBS Financial Services Inc. Yield Enhancement Strategy (YES). Christopher Black was a registered representative of … Continue reading
Erez Law recently filed a FINRA arbitration against Newbridge Securities Corporation and broker John Moy (CRD #848350). The Erez Law client alleges the following in the newly filed FINRA claim: The elderly client informed his broker that he recently sold … Continue reading
Erez Law recently filed a FINRA arbitration against Westpark Capital, Inc. and its broker Miguel Rivera, Jr. (CRD #3060928), who was a registered representative of Westpark Capital, Inc. in Fort Lauderdale, Florida from August 2016 through June 2018. The Erez … Continue reading
Erez Law recently filed a FINRA arbitration claim for damages in excess of $15 million against Raymond James & Associates, Inc. on behalf of a group of mostly Ecuadorian investors who suffered losses due to investments in securities sold to … Continue reading
Erez Law continues to investigate Morgan Stanley Financial Advisor Edward Louis Barger (CRD# 1360282). Erez Law represents a former customer of Barger who alleges that he recommended a reckless and unsuitable concentration of her portfolio in speculative energy sector investments. … Continue reading