Blog
There are options for clients of MSC-BD, LLC broker Robert Fehrman (CRD# 205552) who is accused of GPB Capital Holdings losses. He has been registered with MSC-BD, LLC in Cumming, Georgia from 2013 to 2022. He also faced four regulatory … Continue reading
There are options for clients of Morgan Stanley broker Stephen Takeda (CRD# 1100052) who suffered real estate investment losses due to investment fraud. He has been registered with Morgan Stanley in Irvine, California since 2009. Stephen Takeda Customer Complaints He … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Justin Connors (CRD# 2805785) regarding GWG Holdings L Bond losses. He has been registered with IFP Securities, LLC (Independent Financial Partners) in Cocoa Beach, Florida since 2009. Justin Connors GWG L … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Mark Pearcy (CRD# 2978026) regarding insurance losses due to investment fraud. He has been registered with MML Investors Services, LLC in San Diego, California since 2017. Mark Pearcy Customer Complaints … Continue reading
Were you the victim of NYLife Securities LLC broker Marlyn McClain (CRD# 325415) and you suffered insurance losses due to investment fraud? He has been registered with NYLife Securities LLC in Council Bluffs, Iowa since 1982. Marlyn McClain Customer Complaints … Continue reading
This article originally appeared on Barrons.com written by Andrew Welsch UBS Financial Services must pay $2.9 million in compensatory damages plus nearly $966,000 in legal fees to additional clients who alleged the firm’s Yield Enhancement Strategy (YES) — which focused on options-based … Continue reading
This article originally appeared on Barrons.com written by Andrew Welsch An arbitration panel ordered UBS to pay nearly $3.9 million in a dispute with a couple who accused the company of negligent supervision and breach of fiduciary duty related to a “highly … Continue reading
Former First Allied Advisory Services, Inc. broker Joseph Langlois (CRD# 4216281) accused of real estate securities losses. He has been registered with DFPG Investments, LLC in San Jose, California since 2015. Previously, he was registered with First Allied Advisory Services, … Continue reading
Can I recover unsuitable private placement losses from investments with David Lerner Associates, Inc. broker Lefranc Joseph (CRD# 6092379)? He has been registered with David Lerner Associates, Inc. in Lawrenceville, New Jersey since 2014. Lefranc Joseph Customer Complaints He has been … Continue reading
There are options for customers of former J.W. Cole Financial, Inc. broker Vincent Mastrovito (CRD# 2044645) who suffered investment losses due to unsuitable and over concentrated investments. He has been registered with J.W. Cole Financial, Inc. in Novi, Michigan from … Continue reading