Category: Unauthorized Trades
There are options for customers of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Olga Kapitskaya (CRD# 2587114) who is accused of unsuitable investment recommendations. She has been registered with RBC Capital Markets, LLC in Beverly Hills, California since … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Jamie Nowakowski (CRD# 4472043) regarding GWG Holdings Inc. L Bonds losses. He has been registered with Equitable Advisors, LLC in Hebron, Connecticut since 2020. Previously, he was registered with Coastal Equities, … Continue reading
Former Morgan Stanley broker Francisco Valenzuela (CRD# 2786970) was accused of unsuitable investment recommendations. He was registered with Morgan Stanley in Tucson, Arizona from 2015 to 2018. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Newbridge Securities Corporation broker Philip Gibson (CRD# 2905474) is accused of investment losses related to alternative investments. He has been registered with Newbridge Securities Corporation in Fort Lauderdale, Florida since 2001. In November 2017, “Newbridge Securities Corporation (NSC) entered into … Continue reading
Former Morgan Stanley broker Thomas Murray (CRD# 1186933) was accused of engaging in an unauthorized investment opportunity. He has been registered with Wells Fargo Clearing Services, LLC in Pasadena, California since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Were you the victim of former Morgan Stanley broker Mark Frommer (CRD# 1553129) regarding unsuitable and unauthorized trades? He has been registered with Oppenheimer & Co. Inc. in Chicago, Illinois since 2019. Previously, he was registered with Morgan Stanley in … Continue reading
Erez Law is currently investigating former Equitable Advisors, LLC broker Anthony DiDonna (CRD# 7283414) regarding unauthorized trades. He has been registered with Equitable Advisors, LLC in Woodbury, New York from 2020 to 2021, when he was terminated regarding, “RR discharged … Continue reading
Can I recover losses from investments with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gary Begnaud (CRD# 865927) who is accused of unauthorized trading? He has been registered with Janney Montgomery Scott LLC in Mt. Laurel, New Jersey … Continue reading
Erez Law is currently investigating former Spartan Capital Securities, LLC broker Marc Reda (CRD# 2757330) regarding unauthorized trading. He was registered with Spartan Capital Securities, LLC in New York, New York from 2016 to 2022. Previously, he was registered with … Continue reading
Erez Law is currently investigating The Rockwell Financial Group, Inc. broker George Fill (CRD# 5396631) regarding unauthorized trades. He has been registered with The Rockwell Financial Group, Inc. in Hicksville, New York since 2016. George Fill Customer Complaints George Fill … Continue reading