Category: Unsuitability

In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading →

Erez Law is currently investigating former Morgan Stanley broker Kirk J. Gill (CRD# 2291503) regarding unsuitable and overconcentrated investments. Gill was registered with First Financial Equity Corporation in Tucson, Arizona from 2016 to 2018, when he was terminated regarding, “Failure … Continue reading →

Erez Law is currently investigating former Wells Fargo financial advisor Jeffrey Alan Hill (CRD# 2204945) regarding initiating trades of municipal and corporate bonds for customers without their consent and recommending transactions that were not suitable for his customers. Hill was … Continue reading →