Category: Selling Away
Erez Law is currently investigating former NYLIFE Securities LLC broker Narith Long (CRD# 6598152) regarding opening brokerage accounts at outside broker-dealers, also known as selling away, which allowed Long to make discretionary trades without the customer’s consent. Long was registered … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Jeremy Fortner (CRD# 4811478) regarding private outside investments, also known as selling away. Fortner has been registered with Wells Fargo Clearing Services, LLC in Beverly Hills, California since 2014. … Continue reading
Were you the victim of former PFS Investments Inc. broker Perry Leeuw (CRD# 4792703)? Leeuw has been registered with PFS Investments Inc. in Duluth, Georgia from 2004 to 2016, when he was terminated regarding “Information Indicated That Agent Was Engaged … Continue reading
Can I recover losses from investments with former Wells Fargo Clearing Services, LLC broker Adam Summers (CRD# 5587343)? Summers was registered with Lasalle St Securities, L.L.C. in Frankfort, Illinois from January to June 2021. Summers was registered with Stifel, Nicolaus … Continue reading
Can I recover losses from investments with former Royal Alliance Associates, Inc. broker John Swon IV (CRD# 5591686)? Swon was registered with Royal Alliance Associates, Inc. (Focus Financial) in Bloomington, Minnesota from 2012 to 2021, when he was terminated regarding … Continue reading
Were you the victim of former Securities America, Inc. broker David Zuber (CRD# 3239595)? Zuber was registered with Securities America, Inc. in Lavista, Nebraska from 2011 to 2020, when he was terminated regarding, “Allegations that representative was involved in the … Continue reading
Were you the victim of former Kestra Advisory Services, LLC broker Clyde Ford (CRD# 4700006)? Ford has been registered with Founders Financial Securities LLC in Fresno, California since 2019. Previously, Ford was registered with Kestra Advisory Services, LLC in Fresno, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Henry Chia (CRD# 4049732) regarding selling away. Chia has been registered with Laidlaw & Company (Uk) Ltd. in Pasadena, California since March 2021. Previously, Chia was registered with Morgan Stanley in … Continue reading
Were you the victim of Independent Financial Group, LLC broker Mark Rothstein (CRD# 1084659)? Rothstein has been registered with Independent Financial Group, LLC in El Segundo, California since 2013. Prior to that, Rothstein was registered with Independent Financial Group, LLC … Continue reading
Were you the victim of former Morgan Stanley broker Henry Chang (CRD# 4049732)? Chang was registered with Morgan Stanley in Pasadena, California from 2015 to 2021. Chang has been the subject of four customer complaints between 2008 and 2021, one … Continue reading