Category: Unsuitable Investments
Erez Law is currently investigating Hennion & Walsh, Inc. financial advisor Sean J. McElduff (CRD# 5565355) regarding unsuitable recommendations to invest in Puerto Rico municipal bonds. McElduff has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Jeffrey Randolph Wilson (CRD# 1161819) regarding recommending unsuitable energy investments. Wilson has been registered with Wells Fargo in Las Cruces, New Mexico since 2014. Wells Fargo brokers, including Jeffrey Randolph Wilson, … Continue reading
Erez Law is currently investigating former Berthel, Fisher & Company Financial Services, Inc. financial advisor Jerry Dewayne McCutchen Sr. (CRD# 1076678) regarding unsuitable recommendations with regard to the purchase of certain alternative investments. McCutchen was registered with Berthel, Fisher & … Continue reading
Erez Law is currently investigating Commonwealth Financial Network financial advisor Lloyd Henry Dotson (CRD# 2551716) regarding private securities transactions and conducting outside business activities. Dotson has been registered with Commonwealth Financial Network in New Canaan, Connecticut from 2006 before he … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Donnie Eugene Ingram (CRD# 1416971) regarding unsuitable investment recommendations. Ingram was registered with Investors Capital Corp. in Winter Haven, Florida from 1997 to 2016. He has been registered with … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Paul Anthony (CRD# 1157930). Anthony was registered with Rhodes Securities in Forth Worth, Texas from 1995 to 2015. Anthony was terminated from his employment at Rhodes Securities regarding … Continue reading
Erez Law is currently investigating former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) regarding outside business activities for an unregistered and illiquid company. Parthemer was registered with Wells Fargo in Fort Lauderdale, Florida from 2011 to 2015 and Morgan … Continue reading
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Daniel Fain (CRD# 500386) regarding overconcentrated and unsuitable investments. Fain has been registered with Wells Fargo in Boca Raton, Florida since 2003. In one recent case of broker misconduct, two retired … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisors across the country on behalf of customers who experienced losses due to unsuitable investments in inverse exchange-traded funds (inverse ETFs). Inverse ETFs use short selling and other advanced investment techniques to … Continue reading