Category: Unauthorized Trades
Erez Law is currently investigating First Financial Equity Corporation financial advisor Joseph Yanofsky (CRD# 870054) regarding discretionary trading, unauthorized trading, excessive trading and unsuitable investments. Yanofsky has been registered with First Financial Equity Corporation in Greenwood Village, Colorado since 2015. … Continue reading
Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading
Erez Law is currently investigating First Standard Financial Company LLC financial advisor William Gennity (CRD# 4913490) regarding excessive and unauthorized trading, use of discretion in customer accounts, unsuitable recommendations and other securities violations. Gennity has been registered with First Standard … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Ronald Broadstone (CRD# 1043159) regarding unauthorized trading in customer accounts. Broadstone was registered with UBS Financial Services Inc. in New Albany, Ohio from 2007 to April 2017, when … Continue reading
Erez Law is currently investigating Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) regarding unauthorized trades and other acts of securities fraud. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. broker Luigi Mancusi (Lou Mancusi) (CRD# 2193040) regarding unauthorized trades in customer accounts. Mancusi has been registered David A. Noyes & Company in Lake Forest, Illinois since 2015. Previously, he … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors financial advisor Jeffrey Grayson (CRD# 728985) regarding use of discretion in customer accounts. Grayson was registered with Wells Fargo Advisors in Florham Park, New Jersey from 2011 to December 2016. Previously, … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Andrew Yocum (CRD# 4590723) regarding unauthorized transactions, use of discretion without written authorization, and recommending unsuitable concentrated purchases of energy-sector securities to senior investors. Yocum has been registered with Summit … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Jason Anderson (CRD# 4370191), regarding unauthorized trading, churning and mismanagement of customer accounts. Anderson was registered with IFS Securities in Beaumont, Texas from May 2016 to April 2017. Previously, … Continue reading
Erez Law is currently investigating International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) regarding unsuitable recommendations and unauthorized trades in customer accounts. Spolar has been registered with International Assets Advisory, LLC in Orlando, Florida since April 2015. Previously, … Continue reading