Category: Selling Away
Erez Law is currently investigating Source Capital Group Inc. broker Joseph Scott Hooper (CRD# 2066207) over failed medical start-up investments that were sold to elderly investors. Hooper was registered with Source Capital from 2003 to 2010 and again from 2012 … Continue reading
Erez Law is investigating claims regarding Sean Eric Mattson (CRD #4028781, South Lyon, Michigan). Mattson recently submitted an AWC in which he was suspended from association with any FINRA member in any capacity for one month. See FINRA Case #2014040837701. … Continue reading
Erez Law is investigating claims regarding David Alexander Lange (CRD #4198134, Meridian, Idaho). Lange recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014040505802. Lange was associated with … Continue reading
Erez Law is investigating claims regarding John Wendland Handy Jr. (CRD #1580981, Madison, Wisconsin), Jonathan Craig Timson (CRD #2031301, Springfield, Missouri) and Dennis Walker (CRD #1058338, Verona, Missouri). Handy, Timson, and Walker recently submitted an AWC in which they were … Continue reading
Erez Law is investigating claims regarding Jerry Irvin Chancy (CRD #1787712, Savannah, Tennessee). Chancy recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2014043629801. Chancy formerly was associated … Continue reading
Erez Law is investigating claims regarding Aaron Robert Parmether (CRD #2546369, Fort Lauderdale, FL), also known as Ron Parmether. Parmether recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. See FINRA … Continue reading
Erez Law is investigating claims regarding David Lee Shafranek (CRD #2919901, Long Beach, New York). Shafranek recently submitted an AWC in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business … Continue reading
Erez Law is investigating claims regarding Ted Wayne Cadwallader (CRD #3256070, North Tonawanda, New York). Cadwallader recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2014042259701. Cadwallader … Continue reading
Erez Law is investigating claims regarding Marc William Evans (CRD #859585, Tulsa, Oklahoma) for selling investments in Global Safety Labs, Inc., and several real-estate related limited partnerships, none of which were approved by his member firm. Evans recently submitted an … Continue reading
Erez Law is investigating claims regarding Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania). Evangelista recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2012035327601. From November … Continue reading