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There are options for clients of Tembion Capital Management, LLC broker Mark Jensen (CRD# 2748816) who suffered investment losses in LJM Capital Preservation and Growth Fund. Jensen has been registered with Tembion Capital Management, LLC in Sante Fe, New Mexico … Continue reading
In May 2020, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $340,000 for losses investment sustained. The investors were clients of broker Paul Steffany (CRD# 1082262). The causes … Continue reading
Erez Law is currently investigating St. Louis Financial Planners Inc. broker Thomas Kieffer (CRD# 269086) regarding investment losses due to managed individual stock portfolios. Kieffer has been registered with Ceros Financial Services, Inc. in Chesterfield, Missouri since 2010 and with … Continue reading
Erez Law is currently investigating former Kestra Investment Services, LLC broker Herman Kahn (CRD# 1866522) regarding Atlas Growth Partners investments that were unsuitable. Kahn has been registered with Kestra Investment Services, LLC in Pittsburgh, Pennsylvania from 2004 to 2020. According … Continue reading
Did you suffer investment losses due to recommendations by former Northland Securities, Inc. broker Shawn Messner (CRD# 2759697)? Messner has been registered with Needham & Company, LLC in Minnetonka, Minnesota since 2019. Previously, Messner was registered with Northland Securities, Inc. … Continue reading
Erez Law is currently investigating Lek Securities Corporation broker Ramute Zukas (CRD# 3026650) who suffered investment losses. Zukas has been registered with Lek Securities Corporation in New York, New York since 2002. Zukas has been the subject of one customer … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC broker Barry Debany (CRD# 2208573) regarding unauthorized trades. Debany has been registered with Cetera Advisor Networks LLC in Tarrytown, New York since 2013. Debany has been the subject of two customer … Continue reading
There are options for clients who suffered investments due to recommendations by Concorde Investment Services, LLC broker David Zupek (CRD# 2250376). Zupek has been registered with Concorde Investment Services, LLC and Concorde Asset Management, LLC in Racine, Wisconsin and The … Continue reading
In August 2020, FINRA fined Morgan Stanley $950,000, which included $175,000 in fines and $774,574 in restitution to customers in connection with alleged failures to supervise one of its brokers who purportedly churned client accounts. According to a Letter of … Continue reading
There are options for customers of National Securities Corp. broker Shaun Stein (CRD# 4873578) who suffered investment losses due to unsuitable investment recommendations. Stein has been registered with National Securities Corp. in Jersey City, New Jersey since 2014. Stein has … Continue reading