Category: Unauthorized Trades
Former International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) is accused of unsuitable recommendations and unauthorized trades in customer accounts. Spolar was registered with International Assets Advisory, LLC in Orlando, Florida from April 2015 to November 2017, when … Continue reading
Did you lose money investing with New York financial advisor Stephen Sullivan (CRD# 3123249) who is alleged to recommend unsuitable investments and engage in excessive trading. Sullivan has been registered with SW Financial in Melville, New York since May 2018. … Continue reading
Former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) is alleged to engage in unauthorized trades and over concentrate customer accounts. Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 to 2015. Previously, he … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
Erez Law is currently investigating Oppenheimer & Co. Inc. financial advisor Paul Colchamiro (CRD# 2039083) regarding excessive and unauthorized trading in customer accounts. Colchamiro has been registered with Oppenheimer & Co. Inc. in Melville, New York since 1998. In March … Continue reading
In June 2018, the Securities and Exchange Commission charged Alexander Capital L.P. and two of its managers, Philip A. Noto II and Barry T. Eisenberg, for failing to supervise three brokers, William Gennity (CRD# 4913490), Rocco Roveccio (CRD# 2713144), and … Continue reading
Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Daniel Morris (CRD# 1046760) regarding unauthorized and unsuitable trades. Morris has been registered with Westport Capital Markets, LLC in Westport, Connecticut since December 2016. Previously, Morris was registered with … Continue reading
Were you the victim of former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) who is alleged to engage in unauthorized trades in customer accounts? Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 … Continue reading
Did you lose money investing with former Stockcross Financial Services, Inc. financial advisor Herbert Voss, Jr. (CRD# 1014475)? Voss has been registered with Stockcross Financial Services, Inc. in Beverly Hills, California from 2009 to May 2018, when he was terminated … Continue reading
In June 2018, a former client of Oppenheimer & Co., Inc. won an award in a FINRA arbitration for compensatory damages for $800,000 for losses sustained from unauthorized trades and unsuitable investments in the customer’s accounts. The investors were clients … Continue reading