Category: Options
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker William King (CRD# 1432593), regarding unsuitable and unauthorized trades related to put options. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, … Continue reading
Morgan Stanley broker Christiana Webb (CRD# 5116707) is accused of investment losses related to options. She has been registered with Morgan Stanley in Peachtree City, Georgia, since 2009. Christiana Webb Customer Complaints She has been the subject of one customer … Continue reading
Erez Law is interested in speaking with clients who suffered investment losses due to recommendations from UBS Financial Services Inc. broker William Cerf (CRD# 2269462) related to Yield Enhancement Services (YES) investment losses. William Cerf has been a registered representative … Continue reading
Erez Law is currently investigating Morgan Stanley broker Michael Wagner (CRD# 4465334) regarding options losses. He has been registered with Morgan Stanley in Atlanta, Georgia, since 2012, and with Morgan Stanley in New York, New York, since 2015. Michael Wagner … Continue reading
Erez Law is currently investigating former Western International Securities, Inc. broker Christopher Kennedy (CRD# 4498061) regarding options losses. He was registered with Western International Securities, Inc. in Woodland Hills, California, from December 2019 to September 2021, when he was terminated … Continue reading
Paulson Wealth Management Inc. president and broker Nathan Paulson (CRD# 4799867) was accused of options losses. He has served as president of Paulson Wealth Management Inc. in Wheaton, Illinois, since 2015. Previously, he was manager and chief compliance officer with … Continue reading
There are options for clients of former Securities America, Inc. broker Curtis Wilson (CRD# 1517272), who suffered investment losses. He was registered with Securities America, Inc. in Tulsa, Oklahoma, from 2015 to 2020 and with LPL Financial LLC in Tulsa, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Mitchell Riesenberger (CRD# 2990475) and the firm’s Yield Enhancement Strategy (YES). He has been registered with UBS Financial … Continue reading
UBS Financial Services Inc. broker and investment advisor Steve Liddell (CRD# 1509609) faces a customer complaint related to the UBS options overlay strategy losses. He has been registered with UBS Financial Services Inc. in Plano, Texas, since 2008. He is … Continue reading
Erez Law is currently investigating Capital Investment Group, Inc. broker Anthony Pitta (CRD# 1958029), who is accused of investment losses due to GWG Holdings Inc. L Bonds. He has been registered with Capital Investment Group, Inc. in Melville, New York, … Continue reading