Category: Unsuitable Investments
In March 2020, a former client of Janney Montgomery Scott, LLC won an award in a FINRA arbitration for compensatory damages for $152,674 plus 9% interest per annum until the sum is paid in full, plus fees for a total … Continue reading
There are options for clients who suffered investment losses due to recommendations by former Independent Financial Group, LLC broker Shawn Davis (CRD# 2911230). Davis was registered with Independent Financial Group, LLC in Auburn, California from 2014 to 2017. Prior to … Continue reading
There are options for clients that suffered investment losses due to recommendations from former LPL Financial LLC broker Donald Woods (CRD# 727894). Woods was registered with Thurston Springer Financial in Louisville, Kentucky from 2016 to 2018 and previously with LPL … Continue reading
There are options for clients of former Dawson James Securities, Inc. broker Kevin Barbalance (CRD# 4456476) who suffered investment losses due to unsuitable investment recommendations. Barbalance was registered with Corinthian Partners, L.L.C. in Middletown, New Jersey from 2015 to 2016 … Continue reading
Erez Law is currently investigating National Securities Corporation broker Christopher Ortiz (CRD# 2858626) regarding the suitability of private placements. Ortiz has been registered with National Securities Corporation in Melville, New York since 2004. Private placements are stocks, bonds, or securities … Continue reading
Erez Law is currently investigating National Securities Corporation broker Michael Burkoff (CRD# 2751980) regarding unsuitable investment recommendations. Burkoff has been registered with National Securities Corporation in New York, New York since 2001. Burkoff has been the subject of four customer … Continue reading
In February 2020, a former client of Stifel, Nicolaus & Company, Inc. won an award in a FINRA arbitration for compensatory damages for $500,000 for investment losses. The investors were clients of broker John Lisowski (CRD# 1011572). The causes of … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. broker Jeffrey Vanover (CRD# 4813059) regarding unsuitable investment recommendations. Vanover has been registered with Hilltop Securities Inc. in Lufkin, Texas since July 2019. Previously, Vanover was registered with Ameriprise Financial … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Morgan Stanley broker Seraphim Rine (CRD# 4305797) who is alleged to recommend unsuitable investments. Rine has been registered with Raymond James & … Continue reading
Were you the victim of former Westminster Financial Securities, Inc. broker Louis Telerico (CRD# 443875)? Telerico was registered with Westminster Financial Securities, Inc. in Dayton, Ohiofrom 2012 to 2016. In June 2018, Telerico was suspended by FINRA for six months … Continue reading