Category: Unsuitable Investments
Did you lose money investing with former Morgan Stanley broker Izhar Shefer (CRD# 1759498) who is accused of unsuitable investment recommendations? He was registered with APW Capital, Inc. in Aventura, Florida from August to December 2018. Previously, he was registered … Continue reading
There are options for customers of former Morgan Stanley financial advisor Keith Kordich (CRD# 2743797). Kordich has been registered with Ameriprise Financial Services, Inc. in Boca Raton, Florida since January 2019. Previously, Kordich was registered with Morgan Stanley from 2011 … Continue reading
There are options for customers of former National Securities Corporation financial advisor Michael Fasciglione (CRD# 1806486) regarding investment losses. Fasciglione has been registered with Aegis Capital Corp. in Bayside, New York since 2017. Previously, Fasciglione was registered with National Securities … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. financial advisor Jonathan Pyne (CRD# 2580510) regarding unsuitable investment recommendations. Pyne has been registered with Berthel, Fisher & Company Financial Services, Inc. in Minneapolis, Minnesota since 2007. Pyne … Continue reading
Erez Law is currently investigating Hilltop Securities Inc. financial advisor Mark Augusta (CRD# 1333913) regarding unsuitable and unauthorized trades. Augusta has been registered with Hilltop Securities Inc. in Del Mar, California since 2015. Augusta was previously registered with Wedbush Securities … Continue reading
There are options for customers of Raymond James & Associates, Inc. financial advisor William Council (CRD# 848504) who suffered investment losses. Council has been registered with Raymond James & Associates, Inc. in San Diego, California since 2015. Council has been … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Credit Suisse financial advisor Lily Pirouzian (CRD# 5119248). Pirouzian has been registered with HSBC Securities (Usa) Inc. in New York, New York … Continue reading
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