Category: Unsuitable Investments

Madison Avenue Securities, LLC

Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading

Rhodes Securities, Inc. logo

Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Anthony (CRD# 1157930) regarding unsuitable investments. Anthony was registered with Rhodes Securities, Inc. in Fort Worth, Texas from 1995 to 2015, when he was terminated regarding, “Failure to … Continue reading

Raymond James & Associates, Inc. logo

Erez Law is currently investigating former Raymond James & Associates financial advisors Angela Graham West (CRD# 3004083) and Leon Rehak (CRD# 2331058) regarding unsuitability and excessive trading in the accounts of a retired customer. It has been recently reported that … Continue reading

J.P. Morgan Securities LLC

Erez Law is currently investigating former Morgan Stanley financial advisor Andrew Yocum (CRD# 4590723) regarding unauthorized transactions, use of discretion without written authorization, and recommending unsuitable concentrated purchases of energy-sector securities to senior investors. Yocum has been registered with Summit … Continue reading

Wells Fargo logo

Erez Law recently filed a FINRA arbitration against Wells Fargo Advisors, LLC. The San Francisco, California resident was a customer of former Cetera Advisors, LLC financial advisor Steven Richardson (CRD# 1074713). Their customer alleges that Richardson, who was registered with … Continue reading