Category: Unsuitable Investments
Were you the victim of former Western International Securities, Inc. broker Dennis Mehringer (CRD# 722569)? Mehringer was registered with Western International Securities, Inc. in Pasadena, California from 2009 to May 2018. In October 2019, FINRA barred Mehringer after he consented … Continue reading
Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and … Continue reading
Have you suffered losses due to investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Roberto Fernandez (CRD# 1404389)? Fernandez has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, Florida and Guaynabo, Puerto Rico since … Continue reading
Erez Law is currently investigating former Brookville Capital Partners, LLC broker Daniel King (CRD# 5954543) regarding investment losses. King has been registered with Benchmark Investments, Inc. in New York, New York since February 2019. King was previously registered with: Newbridge … Continue reading
Were you the victim of New York state broker Albert Foronda (CRD# 5737620)? Foronda has been registered with Spartan Capital Securities, LLC in New York, New York since 2017. Previously, Foronda was registered with Worden Capital Management LLC in New … Continue reading
Did you suffer investment losses due to recommendations by former Madison Avenue Securities, LLC broker Noel Vincent (CRD# 1370987)? Vincent was registered with Ele Wealth Advisors, Inc. in Southfield, Michigan from June to August 2018. Vincent was previously registered with … Continue reading
Erez Law is currently investigating former Wells Fargo Clearing Services broker Elizabeth Guarino (CRD# 1264531) regarding unsuitable investment recommendations. Guarino has been registered with Wells Fargo Clearing Services, LLC in Woodbury, New York from 2008 to 2017. In November 2019, … Continue reading
In September 2019, a former client of Network 1 Financial Securities Inc. won an award in a FINRA arbitration for compensatory damages for $169,354 plus 7% interest per annum, $79,440 in attorney’s fees, $25,000 in expert witness fees, $2,650 in … Continue reading
Erez Law is currently investigating Sagepoint Financial, Inc. broker Christopher Rice (CRD# 3222439) regarding unsuitable investment recommendations and overconcentration in customer accounts. Rice has been registered with Sagepoint Financial, Inc. in Greensboro, North Carolina since 2005. Prior to then, Rice … Continue reading
Kalos Capital, Inc. broker Joshua Stivers (CRD# 5708565) is accused of unsuitable investment recommendations. Stivers has been registered with Kalos Capital, Inc. in Austin, Texas since 2017. Previously, Stivers was registered with G.F. Investment Services, LLC in Austin, Texas from … Continue reading