Category: Unregistered securities
Were you the victim of former Signator Investors, Inc. broker Dee Brooks (CRD# 2559233)? Brooks was registered with Signator Investors, Inc. in Huntington Beach, California from 2015 to 2018, when he was terminated regarding, “The Firm was investigating the representative … Continue reading
There are options for customers who suffered investment losses due to recommendations by Woodbury Financial Services, Inc. broker Ronald Hannes (CRD# 1462241). Hannes was registered Woodbury Financial Services, Inc. in Spokane, Washington from 1994 to 2019, when he was terminated … Continue reading
Erez Law is currently investigating former American Portfolios Financial Services, Inc. financial advisor Gary Forrest (CRD# 1313782) regarding recommendations to invest in the Woodbridge Group of Companies. Forrest was registered with American Portfolios Financial Services, Inc. in Flint, Michigan from … Continue reading
Former Meyers Associates, L.P. financial advisor Bruce Meyers (CRD# 1045447) was barred by FINRA following allegations that he sent, or caused to be sent, misleading and unbalanced advertising materials via email to prospective investors. Meyers was registered with Meyers Associates, … Continue reading
Former HD Vest Investment Services financial advisor Jerry Raines (CRD# 4578689) is alleged to recommend his client invest in Woodbridge Group of Companies. Raines was registered with HD Vest Investment Services in Kilgore, Texas from 2014 to 2017. The Woodbridge … Continue reading
Erez Law is currently investigating former CP Capital Securities financial advisor Harold Connell (CRD# 1482623) regarding losses sustained through unregistered offerings. Connell was the CEO, president, principal supervisor and owner of CP Capital Securities in Miami, Florida from 2001 to … Continue reading
Erez Law recently filed a FINRA arbitration against Western International Securities. The customers allege that Dawn Bennett (CRD #1567051) and later Bradley Mascho (CRD #2039720), who were registered representatives of Western International Securities, caused them to suffer significant losses to … Continue reading
Erez Law is currently investigating the Woodbridge Group of Companies, a southern California luxury real estate developer, regarding the sale of unregistered securities, the sale of securities by unregistered brokers and the commission of fraud in connection with the offer, … Continue reading
Erez Law is currently investigating former Park Avenue Securities financial advisor Lizabeth Gotuaco Ty (Beth Ty) (CRD# 4737319) regarding the sale of unregistered securities and an alleged $114 million Ponzi Scheme. Ty was registered with Park Avenue Securities in Houston, … Continue reading
Erez Law is currently investigating broker-deal Spencer Edwards, Inc. financial advisors regarding participating in unregistered securities. Spencer Edwards, Inc. is a broker-dealer located in Centennial, Colorado. In March 2017, FINRA fined Spencer Edwards, Inc. $707,000 and suspend them with respect … Continue reading