Category: Unsuitable Investments
Erez Law is currently investigating Merrill Lynch broker Jeffrey Smith (CRD# 1908011) regarding unsuitable investment recommendations. Smith has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Farmington Hills, Michigan since 1989. Smith has been the subject of … Continue reading
Former New York broker Michael Bastardi (CRD# 6015424) was barred by FINRA related to unsuitable margin trading, fraud and forgery. Bastardi was registered with the following firms throughout his short career: Chelsea Financial Services in Staten Island, New York (01/19/2018 … Continue reading
In April 2019, a former client won a FINRA arbitration against J.P. Turner & Company, L.L.C., Summit Brokerage Services, Inc., LPL Financial LLC, Purshe Kaplan Sterling Investments, Inc. and CS Planning Corp. and financial advisor Christopher Burtraw (CRD# 4670431) for … Continue reading
Erez Law is investigating Centaurus Financial, Inc. and J.P. Turner & Company, LLC for structured product losses due to investments with Ricky Mantei (CRD# 1098981), Cindy Chiellini (CRD# 1015592), Dana Matthew Hawkins (CRD# 5731136), and Katherine Nishnic (CRD# 249955). Erez … Continue reading
Aegis Capital Corp. financial advisor Paul Falcon (CRD# 2464566) faces $1 million customer complaint for investment losses. Falcon has been registered with Aegis Capital Corp. in Boca Raton, Florida since 2013. Falcon has been the subject of six customer complaints … Continue reading
Former Cambridge Investment Research, Inc. financial advisor Gary Meier (CRD# 1591561) has six pending customer complaints for investment losses. Meier was registered with Cambridge Investment Research, Inc. in Vancouver, Washington from 2013 to 2015. In August 2017, the Washington state … Continue reading
In March 2019, a former client of Capital & Security Management Inc. won an award in a FINRA arbitration for compensatory damages for $326,000 plus 5% per annum until the award is paid in full. The customer complaint originally alleged … Continue reading
Were you the victim of Centaurus Financial, Inc. financial advisor Michael Fassi (CRD# 828921) who recommended unsuitable investment? Fassi has been registered with Centaurus Financial, Inc. in Fort Collins, Colorado and Reno, Nevada since 2006. Fassi has been the subject … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Barbara Kenerson (CRD# 1060984) regarding unsuitable investment recommendations and excessive trading. Kenerson has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island from 1999 to 2018. Kenerson … Continue reading
Erez Law is currently investigating Wells Fargo broker Bryan Benson (CRD# 807506) regarding unsuitable investments. Benson has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since 2007. In April 2020, Benson was barred by FINRA after he … Continue reading