Category: Unauthorized Trades
Erez Law is currently investigating former Bay Mutual Financial, LLC financial advisor Christopher Ariola (CRD# 2957096) regarding unsuitable and unauthorized trades. Ariola was registered with Financial Telesis Inc. in Aliso Viejo, California from 2012 to 2014. Previously, he was registered … Continue reading
Erez Law is currently investigating former National Securities Corporation financial advisor Glenn McDowell (CRD# 2748337) regarding unauthorized transactions. McDowell was registered with Woodstock Financial Group, Inc. in New York, New York from 2013 to 2015. Previously, he was registered with … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Robert Bulloch (CRD# 2541075) regarding use of discretion or unauthorized trading in customer accounts. Bulloch has been registered with Infinity Financial Services in Oakland, California since January 2017. Previously, … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Kim Isaacson (CRD# 855618) regarding unauthorized trades and misleading a customer about the value in investment accounts. Isaacson has been registered with Ameriprise Financial Services, Inc. in Midvale, Utah since … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Rick Davidson (CRD# 1315998) regarding unauthorized and unsuitable trading in customer accounts. Davidson has been registered with National Securities Corporation in New York, New York since June 2017 and Jefferies LLC … Continue reading
Erez Law is currently investigating former Raymond James & Associates financial advisor Paul McLellan Alexander Jr. (CRD# 4285605) regarding use of discretion and unauthorized trading in customer accounts. Alexander was registered with Raymond James & Associates in Palm Beach Gardens, … Continue reading
Erez Law is currently investigating former Triad Advisors, Inc. financial advisor Larry Westly Farmbry (CRD# 1017621) regarding unauthorized discretionary trades. Farmbry was registered with Triad Advisors, Inc. in Bala Cynwyd, Pennsylvania from 2015 to 2017. In August 2015, Farmbry was … Continue reading
Erez Law is currently investigating former Paulson Investment Company LLC financial advisor Kelly Clayton Althar (CRD# 2666723) regarding unsuitable recommendations and excessive trading. Althar was registered with Paulson Investment Company LLC in Novato, California from 2015 to 2016. Previously, he … Continue reading
Erez Law is currently investigating former Morgan Stanley Richard Alan Kern (CRD# 1705828) regarding discretionary trading in customer accounts. Kern was registered with Citigroup Global Markets, Inc., a predecessor to Morgan Stanley Smith Barney, located in Beavercreek, Ohio from 2009 … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Wendy B. Feldman (CRD# 1946800) regarding discretion, unsuitable investment recommendations, unauthorized trades and failure to disclose fees to customers. Feldman has been registered with H. Beck, Inc. in Bethesda, Maryland … Continue reading