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Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Joshua Nicholas (CRD# 6529944) regarding outside business activities, also known as selling away. Joshua Nicholas was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Erez Law is currently investigating former Edward Jones broker John Winslow (CRD# 3071933) regarding broker misconduct that involved stolen funds. John Winslow was registered with Edward Jones in Gig Harbor, Washington from 2013 to 2021, when he was terminated regarding, … Continue reading
Erez Law is currently investigating former Worden Capital Management LLC broker William Athas (CRD# 3165470) regarding unsuitable investment recommendations and excessive trading. William Athas was registered with SW Financial in Melville, New York from 2020 to 2021. Previously, he was … Continue reading
Erez Law is currently investigating Royal Alliance Associates, Inc. broker Mark Young (CRD# 1800687) regarding private placement investment losses. Mark Young has been registered with Royal Alliance Associates, Inc. in Topeka, Kansas since 2006. Mark Young Customer Complaints Mark Young … Continue reading
There are options for clients of former Fidelity Brokerage Services LLC broker Kitwana Thomas (CRD# 5539984) who suffered investment losses due to unsuitable investment recommendations. Kitwana Thomas was registered with Fidelity Brokerage Services LLC in Jacksonville, Florida from 2012 to … Continue reading
Erez Law is currently investigating former Worden Capital Management LLC broker John LoPinto (CRD# 4563735) regarding common and preferred stock losses. John Lopinto has been registered with Worden Capital Management LLC in New York, New York from 2016 to 2019. … Continue reading
Erez Law is currently investigating former Cambridge Investment Research, Inc. broker Dale Wright (CRD# 1142615) regarding investment losses due to suitability concerns. Dale Wright has been registered with Cambridge Investment Research, Inc. in Henrico, Virginia from 2011 to 2019. In … Continue reading
Can I recover losses from unsuitable investment losses with former Wynston Hill Capital, LLC broker Craig Sherman (CRD# 5670193)? Craig Sherman was registered with Wynston Hill Capital, LLC in Fletcher, North Carolina from 2017 to 2020. Previously, Craig Sherman was … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Worden Capital Management LLC broker Joseph Valdini (CRD# 5517610). Joseph Valdini was registered with Aegis Capital Corp. in Melville, New York from … Continue reading
There are options for clients of Hightower Securities, LLC broker Peter Klein (CRD# 1523734) who is accused of unsuitable investment recommendations. Peter Klein has been registered with Hightower Securities, LLC in Melville, New York since 2013. Peter Klein Customer Complaints … Continue reading