Category: Unsuitable Investments
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor George Puliafico (CRD# 1158596) regarding investment losses due to sector concentration. Puliafico has been registered with Raymond James Financial Services, Inc. in Walpole, Massachusetts since 1999. Puliafico has … Continue reading
Have you experienced investment losses due to recommendations by Investors Capital Corp. financial advisor Nina Jessee (CRD# 1484808)? Jessee was registered with Cetera Advisors LLC in Abingdon, Virginia from October 2016 to November 2017, when she was terminated regarding, “Violated … Continue reading
Erez Law is currently investigating OptionSellers.com and/or INTL FC Stone regarding a reckless options trading strategy. If you suffered investment losses due to investments with OptionSellers.com and/or INTL FC Stone, Erez Law can help. INTL FC Stone is the OptionSellers.com’s … Continue reading
In November 2018, a FINRA arbitration panel awarded eight investors $963,836 for compensatory damages plus $5,000 in costs, $50,000 in attorneys’ fees and the $375 non-refundable filing fee, for a total award of $1,019, 211. The case was regarding unsuitable … Continue reading
Erez Law is currently investigating former Financial West Group financial advisor John Simoncic (CRD# 1062932) regarding unsuitable recommendation involving non-traditional exchange traded funds (ETFs). Simoncic was registered with several brokerage firms during the past few years: Financial West Group in … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Charles Poulin (CRD# 6229037) regarding unsuitable investment recommendations. Poulin has been registered with Aegis Capital Corp. in New York, New York since 2014. Poulin has been the subject of one … Continue reading
In September 2018, a former client of UBS Financial Services Inc. settled a FINRA arbitration for $1.5 million for losses sustained from investment in VelocityShares 3x Long Crude ETN and Valeant Pharmaceutical International, Inc. The investor was a client of … Continue reading
In September 2018, a former client of Cambridge Investment Research, Inc. won an award in a FINRA arbitration for compensatory damages for $41,270.44 plus 2% interest for losses sustained from investments in LJM Preservation and Growth Fund. The investors were … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor Cindy Facin (CRD# 1015592) regarding inappropriate and unsuitable investment recommendations. Facin has been registered with Centaurus Financial, Inc. in Lexington, South Carolina since 2015. Facin has been the subject of … Continue reading
Former Comprehensive Asset Management and Servicing, Inc. financial advisor Tamara Steele (CRD# 3227494) is accused of recommending unsuitable investments in Behavioral Recognition Systems (BRS), a Houston, Texas-based software development company that has created the world’s first Behavioral Analytics technology that … Continue reading