Category: Unsuitable Investments
Erez Law is currently investigating former UBS Financial Services Inc. broker Ricardo Turlan (CRD# 4431836) regarding exercising discretion in customer accounts. Turlan has been registered with UBS Financial Services Inc. in San Antonio, Texas from 2015 to 2019, when he … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPB Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, … Continue reading
Erez Law is currently investigating Madison Avenue Securities, LLC broker Jeffrey Dixson (CRD# 4166311) regarding investment losses due to investments in GPB Capital Holdings. Dixson has been registered with Madison Avenue Securities, LLC in Vancouver, Washington, Portland, Oregon, and Clackamas, … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kevin Gunnip (CRD# 2701801) regarding unsuitable and excessive trading allegations. Gunnip has been registered with Morgan Stanley Smith Barney in Southlake, Texas from 2009 to 2018, when he was terminated regarding, … Continue reading
In September 2019, a former client of UBS Financial Services and broker William Hightower (CRD# 2152369) won a FINRA arbitration $555,000 in damages resulting from unsuitable investment recommendations. According to Hightower’s BrokerCheck, the allegations were regarding, “Allegations: Plaintiffs allege that … Continue reading
Did you suffer investment losses due to recommendations by Wells Fargo Clearing Services, LLC broker Richard Bernstein (CRD# 1113777)? Bernstein has been registered with Wells Fargo Clearing Services, LLC in Incline Village, Nevada since 2015. Bernstein has been the subject … Continue reading
Erez Law is currently investigating former Hornor, Townsend & Kent, Inc. broker Alex Blanco (CRD# 3146376) regarding unsuitable investment recommendations. Blanco has been registered with MML Investors Services, LLC in New York, New York since November 2017. Previously, Blanco was … Continue reading
Sagepoint Financial, Inc. broker Christopher Bice (CRD# 3222439) is accused of unsuitable investment recommendations. Bice has been registered with Sagepoint Financial, Inc. in Greensboro, Mooresville, and Salisbury, North Carolina since 2005. Bice was registered with three prior firms between 1999 … Continue reading
Erez Law is currently investigating former Taylor Capital Management Inc. broker James Heafner (CRD# 4837072) regarding investment losses due to unsuitable investment recommendations. Heafner has been registered with Taylor Capital Management Inc. in Charlotte, North Carolina from 2011 to 2018, … Continue reading
Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, … Continue reading