Category: Unauthorized Trades
Did you lose money investing with former Aegis Capital Corp. broker Nick Son (CRD# 1178523)? Son was registered with Aegis Capital Corp. in New York, New York from 2014 to 2020. Son has been registered with National Securities Corp. in … Continue reading
Did you lose money investing with Summit Brokerage Services, Inc. broker Jeffrey Poosch (CRD# 2490703) regarding unsuitable investment recommendations? He has been registered with Prospera Financial Services, Inc. in Port Huron, Michigan, since 2021. Previously, he was registered with Summit … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. financial advisor Daniel Morris (CRD# 1046760) regarding unauthorized and unsuitable trades in customer accounts. Morris has been registered with Westport Capital Markets, LLC in Westport, Connecticut since 2016. Previously, Morris … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Cuna Brokerage Services, Inc. financial advisor Stacy Cheney-Jamison (CRD# 4318631). Cheney-Jamison has been registered multiple firms during the past few year including: … Continue reading
Did you lose money investing with Morgan Stanley financial advisor David Janny (CRD# 1272727) regarding unauthorized, unsuitable and excessive short-selling in customer accounts? Janny has been registered with Morgan Stanley in Westport, Connecticut since 2012. Janny has been the subject … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with J.J.B. Hilliard, W.L. Lyons, LLC financial advisor William Wobbe (CRD# 2620880) who is alleged to engage in unauthorized trading and unsuitability of investment … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Berthel Fisher & Company Financial Services, Inc. broker Mason Gann (CRD# 4030936) who is alleged to exercise discretion in customer accounts. Gann … Continue reading
Were you the victim of former Morgan Stanley financial advisor Thomas Meier (CRD# 1146044) due to unauthorized transactions and discretionary trading? Meier was registered with Morgan Stanley in Miami, Florida from 2009 to April 2016. In March 2018, FINRA barred … Continue reading
There are options for customers of former Next Financial Group, Inc. financial advisor Joseph Cotter (CRD# 1263122). Cotter was registered with Petersen Investments, Inc. in Charlotte, North Carolina from March 2016 to May 2017, when he was terminated regarding, “On … Continue reading
There are options for customers of former NMS Capital Advisors, LLC financial advisor Darrell Rideaux (CRD# 5211032) who suffered investment losses. Rideaux was registered with NMS Capital Advisors, LLC in Beverly Hills, California from August 2016 to May 2017. Previously, … Continue reading