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Erez Law is currently investigating former UBS Financial Services Inc. broker David Fenning (CRD# 1005307) regarding equities investment losses. Fenning has been registered with Morgan Stanley in New York, New York since 2019. Previously, Fenning was registered with UBS Financial … Continue reading
Were you the victim of Kalos Capital, Inc. broker Gene Esplin (CRD# 3133447)? Esplin has been registered with Kalos Capital, Inc. in Pocatello, Idaho from 2015 to 2019. Esplin has been the subject of one customer complaint, according to his … Continue reading
There are options for customers who suffered investment losses due to recommendations by Investment Planners, Inc. broker James Parrelly (CRD# 728368). Parrelly was registered with Investment Planners, Inc. in South Lyon, Michigan between 2015 and 2020, when he was terminated … Continue reading
There are options for customers of former National Securities Corporation broker Thomas Kelly Jr. (CRD# 2877415) who suffered investment losses. Kelly has been registered with Aegis Capital Corp. in New York, New York since May 2018. Previously, Kelly was registered … Continue reading
There are options for customers who suffered investment losses due to recommendations by Lucia Securities, LLC broker Scot Fairchild (CRD# 2323211). Fairchild has been registered with Lucia Securities, LLC in Henderson, Nevada since 2012. Fairchild has been the subject of … Continue reading
There are options for customers of former Aegis Capital Corp. broker Robert Buffington (CRD# 5220332). Buffington has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2019. Buffington has been the subject of four customer … Continue reading
Erez Law is currently investigating BMA Securities, LLC broker Martin Noonan Jr. (CRD# 2982159) regarding unsuitable investment recommendations. Noonan has been registered with BMA Securities, LLC in El Segunda, California from 2013 to 2020. In May 2020, FINRA barred Noonan … Continue reading
Were you the victim of Arkadios Capital broker Kevin Rainwater (CRD# 3098443)? Rainwater has been registered with Arkadios Capital in Atlanta, Georgia since 2017 and with ACG Wealth Inc. in Atlanta, Georgia since 2010. Rainwater has been the subject of … Continue reading
Erez Law is currently investigating former David A. Noyes & Company broker James Kirchner (CRD# 2852217) regarding unsuitable investment recommendations. Kirchner was registered with Cabot Lodge Securities LLC in Chicago, Illinois from September 2019 to March 2020. Previously, Kirchner was … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Eladio Santiago (CRD# 3060628) regarding unsuitable investment recommendations. Santiago has been registered with Cambridge Investment Research, Inc. in Fulton, Maryland since 2018. Previously, Santiago was registered with UBS Financial … Continue reading