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Were you the victim of former Laidlaw & Company (Uk) Ltd. broker Rikin Jobanputra (CRD# 5763695)? Jobanputra has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2017. Previously, Jobanputra was registered with Laidlaw & … Continue reading
There are options for customers of UBS Financial Services Inc. broker Nick Polydoros (CRD# 1109056) who suffered investment losses. Polydoros has been registered with UBS Financial Services Inc. in Scottsdale, Arizona since 2011. Polydoros has been the subject of two … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Brendan Behan (CRD# 5681974) regarding unsuitable investment recommendations. Behan has been registered with Aegis Capital Corp. in Melville, New York since 2012. Behan has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating Geneos Wealth Management, Inc. broker Richard Braverman (CRD# 1023227) regarding unsuitable investment recommendations. Braverman has been registered with Geneos Wealth Management, Inc. in Lancaster, Pennsylvania since 2008. Braverman has been the subject of two customer … Continue reading
Were you the victim of Barrett & Company broker Wilson Saville (CRD# 1406756)? Saville has been registered with Barrett & Company in Providence, Rhode Island since 1986. In 1998, the National Association of Securities Dealers, Inc. censured and sanctioned Saville … Continue reading
Erez Law is currently investigating New York broker Joseph Todaro (CRD# 5708585) who received multiple customer complaints. Todaro has been registered with SW Financial in Melville, New York since 2020. Previously, Todaro was registered with Worden Capital Management LLC in … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Yann Faho (CRD# 5397543) regarding investment losses. Faho has been registered with Aegis Capital Corp. in New York, New York since 2016. Faho has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating Morgan Stanley broker Brian Manning (CRD# 1561116) regarding suitability concerns in the energy sector. Manning has been registered with Morgan Stanley in Toms River, New Jersey since 2009. Manning has been the subject of one … Continue reading
Were you the victim of First Allied Securities, Inc. broker Daniel Brunette (CRD# 813924)? Brunette has been registered with First Allied Securities, Inc. in Indianapolis, Indiana since 2012 and with Cetera Investment Advisers LLC in Indianapolis, Indiana since 2020. In … Continue reading
In July 2020, the Securities and Exchange Commission (SEC) ordered UBS Financial Services to pay $8 million, as well as $96,344 in disgorgement and $15,930 in interest, related to sales of complex exchange-traded products (ETPs), which were unsuitable for many … Continue reading