Category: Unsuitable Investments
Were you the victim of former SW Financial broker Felipe Arrieta (CRD# 4142123)? He was registered with Great Point Capital LLC in Chicago, Illinois, from July to October 2023. Previously, he was registered with the following firms: Moloney Securities Co., … Continue reading
Erez Law is currently investigating Emerson Equity LLC broker Tony Barouti (CRD# 3031995) regarding GWG Holdings L Bonds, a high-yield junk bond. He has been registered with Emerson Equity LLC in Los Angeles, California, since 2017. Tony Barouti GWG Holdings … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Jason Walsh (CRD# 2811047), who is accused of investment losses. He was registered with Centaurus Financial, Inc. in Pasadena, California, from 2018 to 2023. In October 2014, FINRA sanctioned him … Continue reading
Were you the victim of investment losses due to recommendations by D.H. Hill Securities, LLC broker Leslie Kern (CRD# 1140180)? He has been registered with D.H. Hill Securities, LLC in Wilmington, North Carolina, since 2016. Previously, he was registered with … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jason Tarver (CRD# 2569913) regarding unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas, since 1996, Dai Securities, … Continue reading
Were you the victim of Money Concepts Capital Corp. broker Francis Carson (CRD# 1494735), who is accused of unsuitable investment recommendations? He has been registered with Money Concepts Capital Corp. in Stratford, Connecticut, and Newton, Massachusetts, since 2020. Francis Carson … Continue reading
Erez Law is currently investigating 31-year industry veteran Somerset Securities, Inc. broker Thomas Hamlin (CRD# 2208505) regarding iCap Equity, LLC investment losses, a high-risk Regulation D private placement was unsuitable for many investors. He has been registered with Somerset Securities, … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker James Schwarz (CRD# 416535) regarding investment losses related to high-risk preferred stocks. He has been registered with UBS Financial Services Inc. in Short Hills, New Jersey, since 2013. James Schwarz … Continue reading
Erez Law recently filed a FINRA arbitration against Citizens Securities Inc. related to Colorado Bankers Life Annuities. Their customer alleges that William Torrance (CRD #5086449), who was a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, … Continue reading
Erez Law is interested in speaking with clients who suffered investment losses due to recommendations from UBS Financial Services Inc. broker William Cerf (CRD# 2269462) related to Yield Enhancement Services (YES) investment losses. William Cerf has been a registered representative … Continue reading