Category: Unauthorized Trades
There are options for clients of former David A. Noyes & Company broker Stuart Pearl (CRD# 1500833) who suffered investment losses. Pearl was registered with David A. Noyes & Company in Indianapolis, Indiana from 2015 to 2019 when he was … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. broker Gregory Collier Sr. (CRD# 1408843) regarding unauthorized trading. Collier has been registered with Raymond James Financial Services, Inc. in Mt. Dora, Florida since 2005. Gregory Collier Sr. Accused of … Continue reading
Were you the victim of Arkadios Capital broker Kevin Rainwater (CRD# 3098443)? Rainwater has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with ACG Wealth Inc. in Atlanta, Georgia since 2010. Rainwater has been the subject of … Continue reading
Did you suffer investment losses due to recommendations by former Northwestern Mutual Investment Services, LLC broker Donnell Bowen (CRD# 5641822)? Bowen was registered with Northwestern Mutual Investment Services, LLC in Washington, DC from 2009 to 2017, when he was terminated … Continue reading
Were you the victim of former Hornor, Townsend & Kent, LLC broker Clay Erickson (CRD# 1583644)? Erickson was registered with Hornor, Townsend, & Kent, Inc. in Salt Lake City, Utah from 2011 to 2016, when he was terminated regarding, “Registered … Continue reading
There are options for customers who suffered investment losses due to recommendations by former Morgan Stanley broker Eugene Gordon (CRD# 4744448). Gordon has been registered with Fortune Financial Services, Inc. in Palo Alto, California since 2018. Previously, Gordon was registered … Continue reading
Were you the victim of former First Standard Financial Company LLC broker Philip Sparacino (CRD# 3243960)? Sparacino was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2014 to 2019, when he was terminated regarding, “State … Continue reading
Did you lose money investing with former National Securities Corporation broker Vincent Mazza (CRD# 4332577)? Mazza was registered with National Securities Corporation in Jersey City, New Jersey from 2006 to 2018. In October 2019, FINRA barred Mazza after he failed … Continue reading
Former First Allied Securities broker Masood Azad (CRD# 4798445) is accused of false and misleading statements causing his clients to suffer investment losses. Azad was registered with First Allied Securities in League City, Texas from 2015 to 2017, when he … Continue reading
Were you the victim of former Lincoln Financial Advisors Corporation broker George Schmidt Jr. (CRD# 1082936)? Schmidt has been registered with Lincoln Financial Advisors Corporation in Melville, New York from 2012 to 2019, when he was terminated regarding, “Registered Representative … Continue reading