Category: Unsuitable Investments
Erez Law is currently investigating First Financial Equity Corporation financial advisor Joseph Yanofsky (CRD# 870054) regarding discretionary trading, unauthorized trading, excessive trading and unsuitable investments. Yanofsky has been registered with First Financial Equity Corporation in Greenwood Village, Colorado since 2015. … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffmann (CRD# 4008798) regarding unsuitable recommendations. He was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to May 2017, and previously with … Continue reading
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
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
Erez Law is currently investigating UBS Financial Services Inc. financial advisor Samuel Rankin (CRD# 811491) regarding aggressive investment recommendations. Rankin has been registered with UBS Financial Services Inc. in Charlotte, North Carolina since 2009. Rankin has been the subject of … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Timothy Gibbons (CRD# 219872) regarding unsuitable investment recommendations for elderly clients in the high risk energy sector. Gibbons has been registered with Morgan Stanley in New Orleans, Louisiana from 2009 … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor David White (CRD# 1382131) regarding unsuitable investments. White has been registered with Centaurus Financial, Inc. in Bloomfield Hills, Michigan since 2005. White has been the subject of 12 customer complaints … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Jay Jordan (CRD# 1776666) regarding unsuitable purchases of non-traditional ETFs. Jordan has been registered with WFG Investments, Inc. in Oklahoma City, Oklahoma from 2005 to April 2016 when he … Continue reading
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
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