Category: Unsuitable Investments
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
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Gordon Roberts Jr. (CRD# 1474475) regarding investment losses. Roberts has been registered with Berthel, Fisher & Company Financial Services, Inc. in Mt. Vernon, Illinois since 2008. Roberts … Continue reading
Erez Law is currently investigating former Crystal Bay Securities Inc. broker Rafael Golan (CRD# 1074079) who was recently barred by FINRA. Golan has been registered with Crystal Bay Securities Inc. (aka RSG Capital Corp.) in Delray Beach, Florida from 2007 … Continue reading
Erez Law is currently investigating former Portfolio Advisors Alliance, LLC broker Craig Siegel (CRD# 5759415) regarding investment losses due to unsuitable investment recommendations, excessive trading, and churnings. Siegel has been registered with Portfolio Advisors Alliance, LLC in New York, New … Continue reading