Category: Negligence Articles
Were you the victim of former McDermott Investment Services, LLC broker Gregory Hill (CRD# 850818)? Hill has been registered with Emerson Equity LLC in San Mateo, California since 2019. Previously, Hill was registered with Colorado Financial Service Corporation in Centennial, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Stifel, Nicolaus & Company, Incorporated broker Robert Holland (CRD# 1962105). Holland has been registered with Stifel, Nicolaus & Company, Incorporated in Billings, Montana … Continue reading
Have you suffered investment losses due to recommendations by former National Securities Corporation broker Joseph Alhadeff (CRD# 2938087)? Alhadeff has been registered National Securities Corporation in New York, New York from 2012 to 2018. In November 2020, FINRA barred Alhadeff … Continue reading
Were you the victim of NYLIFE Securities LLC broker William Humbarger (CRD# 4294223)? Humbarger has been registered with NYLIFE Securities LLC in Indianaola, Mississippi since 2000. Humbarger has been the subject of four customer complaints between 2009 and 2020, one … Continue reading
Were you the victim of former Worden Capital Management LLC broker Jason Wilk (CRD# 6072438)? Wilk was registered with Worden Capital Management LLC in New York, New York from 2017 to 2019. Previously, Wilk was registered with: Craft Capital Management … Continue reading
There are options for clients of former Barclays Capital Inc. broker Tony Esses (CRD# 4643285) who suffered investment losses. Esses has been registered with Wells Fargo Clearing Services, LLC in Miami, Florida since 2014. Esses has been the subject of … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker James McKinney (CRD# 2100850) who suffered investment losses. McKinney was registered with Cetera Advisors LLC in Tulsa, Oklahoma from 2012 to 2019. In March 2020, FINRA barred McKinney after he … Continue reading
In May 2020, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $340,000 for losses investment sustained. The investors were clients of broker Paul Steffany (CRD# 1082262). The causes … Continue reading
Erez Law is currently investigating St. Louis Financial Planners Inc. broker Thomas Kieffer (CRD# 269086) regarding investment losses due to managed individual stock portfolios. Kieffer has been registered with Ceros Financial Services, Inc. in Chesterfield, Missouri since 2010 and with … Continue reading
Were you the victim of Peachcap broker Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016. Brodt has … Continue reading