Category: Promissory Notes
Erez Law is currently investigating former Chelsea Financial Services broker George Warner (CRD# 2300570) regarding promissory note losses. Warner was registered with Chelsea Financial Services in Staten Island, New York from 2017 to 2019. Previously, Warner was terminated from NFP … Continue reading
Erez Law is currently investigating barred broker Dana Vietor (CRD# 873129) who faces multiple customer complaints regarding promissory notes investment losses. In November 2022, FINRA ordered Dana Vietor to pay $5.7 million to investors who were allegedly defrauded in a … Continue reading
Were you the victim of former Vision Brokerage Services, LLC broker Dwight Dykstra (CRD# 1028210)? Dykstra was registered with Vision Brokerage Services, LLC in Maitland, Florida from 2013 to 2019. In October 2020, FINRA was sanctioned to pay $10,000 in … Continue reading
Erez Law is currently investigating former Private Client Service broker Michael Iannarino (CRD# 1258453) regarding promissory note losses. Iannarino was registered with Stifel, Nicolaus & Company, Incorporated in Columbus, Ohio from August to October 2018, when he was terminated regarding, … Continue reading
Former Lincoln Financial Securities Corporation broker Barry Horowitz (CRD# 2651525) faces allegations of client damages in excess of $2.4 million related to promissory note losses. Horowitz was registered with Lincoln Financial Securities Corporation in Glastonbury, Connecticut from 1995 to August … Continue reading
In January 2019, The Securities and Exchange Commission (SEC) filed charges against Phillip Carter, a resident of Texas and real estate developer, as well as Bobby Guess (CRD# 1135068) and Richard Tilford and related entities for conducting a multi-million dollar … Continue reading
Erez Law is currently investigating financial advisor Henry Wieniewitz (CRD# 4469542) regarding losses sustained from investments in 1st Global. He also goes by Trae Wieniewitz. Wieniewitz was registered with Taylor Capital Management Inc. in Knoxville, Tennessee from 2010 to January … Continue reading
Did you lose money investing with former Axiom Capital Management, Inc. broker Jennifer Ling (CRD# 3277203) in Aequitas-related promissory notes? Jennifer Ling was registered with Axiom Capital Management, Inc. in New York, New York from May 2015 to July 2017. … Continue reading
Erez Law is currently investigating former J.P. Turner & Company, L.L.C. financial advisor Christopher Burtraw (CRD# 4670431) regarding participation in a penny stock offering. Burtraw was registered with J.P. Turner & Company, L.L.C. in Lake Wood, Colorado from November 2014 … Continue reading
Erez Law is currently investigating former Triad Advisors, Inc. financial advisor Christopher Thomas Tolmacs (CRD# 4648724) regarding a promissory note scheme. Tolmacs was registered with Triad Advisors, Inc. in Portage, Michigan from 2008 to 2016. FINRA has barred Tolmacs from … Continue reading