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Erez Law is currently investigating former H. Beck, Inc. broker John Tweardy (CRD# 1361757) regarding real estate investment trusts (REIT) and variable annuity investment losses. John Tweardy has been registered with H. Beck, Inc. in Canonsburg, Pennsylvania from 2002 to 2018, when … Continue reading
Erez Law is currently investigating Delta Securities Company, LLC broker Sean Casterline (CRD# 2212919) regarding private placements investment losses. Sean Casterline has been registered with Delta Securities Company, LLC in Maitland, Florida since 2002. In December 2021, FINRA sanctioned Sean Casterline … Continue reading
Can I recover losses from unsuitable investment recommendations made by former Investacorp, Inc. broker William Richardson Jr. (CRD# 721293)? William Richardson Jr. has been registered with Avantax Investment Services, Inc. in Houston, Texas since 2020. Previously, William Richardson Jr. was registered … Continue reading
Did you lose money investing in the Moody National REIT II, an illiquid non-traded real estate investment trust (REIT)? It mostly invests in securities and hotels, such as Marriott, Hyatt, and Hilton. Moody National REIT II started as a blind … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker German Nino (CRD# 2653707) regarding unauthorized trades and fraud. German Nino was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2020. In January 2022, the Securities and Exchange … Continue reading
Were you the victim of NTB Financial Corp. broker George McCaffrey III (CRD# 847377) regarding private placement investment losses? George McCaffrey III was registered with NTB Financial Corporation in Englewood, Colorado from 1989 to 2017. In June 2021, FINRA barred George … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Douglas Szempruch (CRD# 4159318) regarding unauthorized trading. Douglas Szempruch was registered with Aegis Capital Corp. in Melville, New York from 2011 to 2021. In July 2021, FINRA sanctioned Douglas Szempruch … Continue reading
Former Purshe Kaplan Sterling Investments broker Tonya Smoake (CRD# 4985049) was suspended by FINRA regarding her participation in private securities transactions. Tonya Smoake was registered with Bhargava Capital in Franklin Lakes, New Jersey from 2019 to 2020. Previously, Tonya Smoake … Continue reading
Can I recover losses from investments with former JPMorgan Chase Bank, N.A. broker Robert Douglass (CRD# 4262487), who is accused of recommending unsuitable private placements? Robert Douglass has been registered with Arkadios Capital in Atlanta, Georgia since November 2021. Previously, Robert … Continue reading
Were you the victim of former LPL Financial LLC broker Scott Bremus (CRD# 4073006) who is accused of selling away? He was registered with LPL Financial LLC in Dacula, Georgia from 2016 to 2021. In October 2016, he was terminated from … Continue reading