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Erez Law recently filed a FINRA arbitration against Truist Investment Services, Inc. (formerly known as SunTrust Investment Services Inc.) related to Northstar Financial Services (Bermuda) Ltd. investment losses. Their customer was a client of Luis Larios and Stephen Berrocal, who … Continue reading
Erez Law recently filed a FINRA arbitration claim against Centaurus Financial, Inc. Their customer alleges that Cindy Chiellini (CRD #1015592), who has been a registered representative of Centaurus Financial, Inc. in Lexington, South Carolina since May 2015, was entrusted with … Continue reading
There are options for customers of Ni Advisors broker Suihock Goy (CRD# 2821380) who suffered investment losses. He has been registered with Ni Advisors in Milpitas, California since 2005. In August 2013, FINRA sanctioned him to a $13,750 civil and … Continue reading
Former Kestra Investment Services, LLC and Ameriprise Financial Services, Inc. broker David Lentz (CRD# 4335856) faces multi-million dollar customer complaints. He was registered with Kestra Investment Services, LLC in Kernersville, North Carolina from 2017 to 2020. Previously, he was registered … Continue reading
Can I recover losses from investments with former Coastal Investment Advisors broker Thomas Shultz (CRD# 5614228) regarding GWG Holdings Inc. losses? He has been registered with Titan Securities in Scottsdale, Arizona since 2021. Previously, he was registered with Coastal Investment … Continue reading
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker Paul Kim (CRD# 4219593) who lost money investing in stocks. He has been registered with Stifel, Nicolaus & Company, Incorporated in San Jose, California since 2018. Previously, he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Equitable Advisors, LLC broker Joshua Slish (CRD# 7272170) who lost money due to variable annuity investments. He has been registered with Brighton Securities … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Harold Cho (CRD# 2202603), who is accused of unauthorized trading. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey … Continue reading
In September 2022, FINRA was censured and fined Wedbush Securities Inc. $900,000 for trading violations. Additionally, the firm must certify in writing within 90 days that the firm has supervisory systems and written procedures in place that are “reasonably designed … Continue reading
Were you the victim of stock fraud with Morgan Stanley & Co. LLC broker Pawan Passi (CRD# 5527731)? He has been registered with Morgan Stanley & Co. LLC in New York, New York since 2010. Pawan Passi Customer Complaints He … Continue reading