Category: Unsuitable Investments
Erez Law is currently investigating former Morgan Stanley financial advisor Travis Dillard (CRD# 1741428) regarding unsuitable investment recommendations. Dillard has been registered with Wells Fargo Clearing Services, LLC in Tucson, Arizona since August 2015. Previously, he was registered with Morgan … Continue reading
Erez Law is currently investigating former Bay Mutual Financial, LLC financial advisor Christopher Ariola (CRD# 2957096) regarding unsuitable and unauthorized trades. Ariola was registered with Financial Telesis Inc. in Aliso Viejo, California from 2012 to 2014. Previously, he was registered … Continue reading
Were you the victim of former WFG Investments, Inc. broker Damian Bell (CRD# 2348521)? Bell has been registered with International Assets Advisory, LLC in Orlando, Florida since June 2017. Previously, he was registered with WFG Investments, Inc. in Daphne, Alabama … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor Harold Pomeranz (CRD# 365461) regarding unsuitable recommendations of short-term trading of UITs. Pomeranz was registered with Stifel, Nicolaus & Company, Inc. in Garden City, New York from … Continue reading
Erez Law is currently investigating former Cadaret, Grant & Co., Inc. financial advisor Charles Deremo (CRD# 713036) regarding unsuitable investment recommendations. Deremo has been registered with Cadaret, Grant & Co., Inc. in Eagan, Minnesota from 1995 to 2016. Deremo is … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisors across the country who recommended that United Parcel Service (UPS) employee clients invest in UPS stocks in the company’s Rampart Options Management Services Program. In June 2017, a former UPS employee … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Rick Davidson (CRD# 1315998) regarding unauthorized and unsuitable trading in customer accounts. Davidson has been registered with National Securities Corporation in New York, New York since June 2017 and Jefferies LLC … Continue reading
In February 2017, a former Sigma Financial Corporation and Sigma Planning Corporation client won an award in a FINRA arbitration for compensatory damages in the amount of $295,000 for unsuitable sales of leveraged exchange-traded funds (ETFs) and failure to execute … Continue reading
Erez Law is currently investigating former Citizens Securities, Inc. financial advisor Adam Stuart Fritzsche (CRD# 2821218) regarding unsuitable and overconcentrated investment recommendations. Fritzsche was registered with IFS Securities in Atlanta, Georgia from October 2016 to February 2017. Previously Fritzsche was … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Tom Gilliam Parks Jr. (CRD# 1558909) regarding unsuitable investment recommendations. Parks was registered with Stephenville, Texas from 1993 to 2016. In April 2016, Parks was terminated from employment … Continue reading