Category: Unsuitable Investments
Erez Law is currently investigating former Morgan Stanley financial advisor Stewart Malloy (CRD# 1029931) regarding unsuitable investment recommendations. Malloy was registered with Morgan Stanley in Riverhead, New York from 2009 to 2015. In January 2019, FINRA barred Malloy after he … Continue reading
Did you suffer losses due to investments with former Aegis Capital Corp. financial advisor Michael Venturino (CRD# 5872439)? Previously, Venturino was registered with Trident Partners Ltd. in Woodbury, New York from July 2017 to April 2018 and with Aegis Capital … Continue reading
Former Merrill Lynch financial advisor D Membla (CRD# 4357042) is accused of excessive trading and unsuitable investment recommendations. Membla was registered with Merrill Lynch in Chicago, Illinois from 2001 to 2016, when he was terminated regarding, “Conduct including circumventing Firm … Continue reading
There are options for customers of Cetera Advisors LLC financial advisor Donna Hines (CRD# 4275524). Hines has been registered with Cetera Advisors LLC in Weston, West Virginia since 2013. Hines has been the subject of four customer complaints between 2015 … Continue reading
Did you lose money investing in UBS Yield Enhancement Strategy (YES strategy)? The UBS Yield Enhancement Strategy was marketed as an options strategy that was promoted as a safe way to provide investors with additional income. However, this was not … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor James Mewhinney III (CRD# 857321) regarding excessive and unsuitable closed end fund (CEF) transactions. Mewhinney was registered with Morgan Stanley in Dallas, Texas from 2009 to 2018. Mewhinney has been … Continue reading
Geneos Wealth Management, Inc. financial advisor Katrina Barrett (CRD# 5297739) allegedly recommended her clients investment in LJM Capital Preservation and Growth Fund. Barrett has been registered with Geneos Wealth Management, Inc. in Scottsdale, Arizona since 2009. LJM Partners is an … Continue reading
Were you the victim of Coastal Equities, Inc. financial advisor Sam Aziz (CRD# 1721932)? Aziz was registered with David A. Noyes & Company in Dublin, Ohio from July to November 2018, when he was terminated regarding, “While under internal investigation, … Continue reading
Hennion & Walsh, Inc. financial advisor Patrick Walsh (CRD# 2383640) is accused of unsuitable investment recommendations in municipal debt. Walsh has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1993. Walsh has been the subject of … Continue reading
Did you suffer losses due to investments with National Securities Corporation financial advisor Robert Abramowitz (CRD# 4437589)? Abramowitz has been registered with National Securities Corporation in Melville, New York since December 2017. Previously, Abramowitz was registered with Oppenheimer & Co. … Continue reading