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Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Daniel Mittag (CRD# 822636). Mittag has been registered with Oppenheimer & Co. Inc. in Denver, Colorado since 2011. … Continue reading
There are options for clients of former Ameriprise Financial Services, Inc. broker Michael Dellaporta Jr. (CRD# 500214) who suffered investment losses. Dellaporta was registered with B.B. Graham & Company, Inc. in Fort Lauderdale, Florida from 2018 to 2019 and with … Continue reading
There are options for clients of Demopolis Capital Inc. broker John Loofbourrow (CRD# 312494) who suffered investment losses. Loofbourrow has been registered with Demopolis Capital Inc. in Harlem, New York since 1983. In June 2020, sanctioned Loofbourrow to a $7,500 … Continue reading
Were you the victim of former Morgan Stanley broker Leif Olson (CRD# 2277495)? Olson has been registered with Wells Fargo Clearing Services, LLC in Sarasota, Florida since 2020. Previously, Olson was registered with Morgan Stanley in Sarasota, Florida from 2010 … Continue reading
Erez Law is currently investigating Morgan Stanley broker William Ard (CRD# 1133673) regarding unsuitable investment recommendations. Ard has been registered with Morgan Stanley in Short Hills, New Jersey since 2009. Ard has been the subject of two customer complaints between … Continue reading
Erez Law is currently investigating Securities America, Inc. brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund. In March 2021, FINRA sanctioned Securities America, Inc. to pay a $100,000 fine, as well as $235,979.77 … Continue reading
Morgan Stanley broker David Wachsman (CRD# 2220024) faces a customer complaint regarding suitability concerns. Wachsman has been registered with Morgan Stanley in Garden City, New York since 2009. Wachsman has been the subject of one customer complaint, according to his … Continue reading
In January 2021, FINRA sanctioned VALIC Financial Advisors, Inc. to pay a $350,000 fine. FINRA found that between January 2017 and October 2018, VALIC Financial Advisors, Inc. failed to establish a reasonably designed system and written supervisory procedures for the … Continue reading
Did you lose money investing with former UBS Financial Services Inc. broker Carlos Rodriguez (CRD# 4363000)? Rodriguez was registered with UBS Financial Services Inc. in Plano, Texas from 2009 to 2015. In July 2017, FINRA barred Rodriguez after he failed … Continue reading
Did you lose money investing with Oppenheimer & Co. Inc. broker Steven Baaden (CRD# 1266766)? Baaden has been registered with Oppenheimer & Co. Inc. in Los Angeles, California since 2013. Baaden has been the subject of seven customer complaints between … Continue reading