Category: Selling Away
Erez Law is currently investigating former PNC Investments financial advisor Robert Jamison (CRD# 5793591) regarding selling unapproved products (also known as selling away). Jamison has been registered with the following brokerage firms during the past few years: PNC Investments in … Continue reading
In December 2018, a former client Next Financial Group Inc. won an award in a FINRA arbitration for compensatory damages for $2,004,423 plus $6,200 as reimbursement for the initial filing fee and hearing session fees for losses sustained from investment … Continue reading
Former UBS Financial Services Inc. broker Paul Murans (CRD# 3266607) has three pending customer complaints for investment losses. Murans has been registered with Thurston Springer Financial in Indianapolis, Indiana since October 2017. Previously, he was registered with UBS Financial Services … Continue reading
Have you experienced investment losses due to recommendations by Investors Capital Corp. financial advisor Nina Jessee (CRD# 1484808)? Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated … Continue reading
Former UBS Financial Services Inc. financial advisor Alex Herrera (CRD# 3204779) barred by FINRA regarding unreported outside business activities and private securities transactions. Herrera was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2018. In … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith broker Frank Zito (CRD# 2766336) regarding selling away, which is selling investments outside of the firm’s supervision. Zito has been registered with Coker & Palmer in Jackson, Mississippi … Continue reading
Former Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) is alleged to defraud at least 30 customers out of $2.7 million. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January 2017 … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Madison Avenue Securities, LLC financial advisor David Barber (CRD# 1165082). Barber was registered with Madison Avenue Securities, LLC in San Diego, California … Continue reading
Barred former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) accused of participating in outside business activities related to investments in a Miami nightclub. This is also referred to as selling away or selling investments outside of the firm’s supervision. … Continue reading
There are options for customers of Geneos Wealth Management, Inc. financial advisor Bradley Tennison (CRD# 1561988) who is alleged to engage in selling an investment away from his firm. Tennison was registered with Geneos Wealth Management, Inc. in Mesa, Arizona … Continue reading