Category: Unsuitability
Erez Law is currently investigating former Janney Montgomery Scott LLC financial advisor Scott Palmer (CRD# 817586) regarding unsuitable investments. Palmer was registered with Janney Montgomery Scott LLC in Hackensack, New Jersey from 2007 to 2017, when he was permitted to … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Robert Estevez (CRD# 3161419) regarding unsuitable investment recommendations. Estevez has been registered with Joseph Gunnar & Co. LLC in New York, New York since September 2016. Previously, he was … Continue reading
Erez Law is currently investigating former Metlife Securities Inc. financial advisor James Kolf (CRD# 1015682) regarding unsuitable investment recommendations. Kolf was registered with NYLIFE Securities LLC in Madison, Wisconsin from May to August 2016. Previously, he was registered with Metlife … Continue reading
Erez Law is currently investigating former Princor Financial Services Corporation financial advisor Matthew Geiser (CRD# 4203782) regarding unsuitable recommendations and misleading statements about variable annuities to his customers. Geiser was with Independent Financial Group, LLC in Grand Island, Nebraska from … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Travis Dillard (CRD# 1741428) regarding unsuitable investment recommendations. Dillard has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since August 2015. Previously, he was registered with Morgan … Continue reading
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
Were you the victim of former WFG Investments, Inc. broker Damian Bell (CRD# 2348521)? Bell has been registered with International Assets Advisory, LLC in Orlando, Florida since June 2017. Previously, he was registered with WFG Investments, Inc. in Daphne, Alabama … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor Harold Pomeranz (CRD# 365461) regarding unsuitable recommendations of short-term trading of UITs. Pomeranz was registered with Stifel, Nicolaus & Company, Inc. in Garden City, New York from … Continue reading
Erez Law is currently investigating former Cadaret, Grant & Co., Inc. financial advisor Charles Deremo (CRD# 713036) regarding unsuitable investment recommendations. Deremo has been registered with Cadaret, Grant & Co., Inc. in Eagan, Minnesota from 1995 to 2016. Deremo is … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisors across the country who recommended that United Parcel Service (UPS) employee clients invest in UPS stocks in the company’s Rampart Options Management Services Program. In June 2017, a former UPS employee … Continue reading