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There are options for clients of Kalos Capital, LLC broker Christopher Shaw (CRD# 5011382) who suffered investment losses. Shaw has been registered with Pruco Securities, LLC in Charlotte, North Carolina since May 2019. Previously, Shaw was registered with Kalos Capital, … Continue reading
In March 2020, a former client of Janney Montgomery Scott, LLC won an award in a FINRA arbitration for compensatory damages for $152,674 plus 9% interest per annum until the sum is paid in full, plus fees for a total … Continue reading
Did you suffer variable annuity investment losses due to recommendations by Liberty Partners Financial Services, LLC broker John Davenport (CRD# 1448999)? He has been registered with Liberty Partners Financial Services, LLC in Norwalk, Connecticut since 2016. In January 2019, FINRA … Continue reading
There are options for clients who suffered investment losses due to recommendations by former Independent Financial Group, LLC broker Shawn Davis (CRD# 2911230). Davis was registered with Independent Financial Group, LLC in Auburn, California from 2014 to 2017. Prior to … Continue reading
There are options for clients that suffered investment losses due to recommendations from former LPL Financial LLC broker Donald Woods (CRD# 727894). Woods was registered with Thurston Springer Financial in Louisville, Kentucky from 2016 to 2018 and previously with LPL … Continue reading
Erez Law is currently investigating former Whitehall-Parker Securities, Inc. and Independent Financial Group, LLC broker James Lamont (CRD# 2846228) regarding recommending unsuitable Woodbridge Group of Companies investments. Lamont was registered with Whitehall-Parker Securities, Inc. in San Francisco, California from 2015 … Continue reading
Were you the victim of Triad Advisors LLC broker Mark Robare (CRD# 1057899)? Robare has been registered with Triad Advisors LLC in Houston, Texas since 2003. In September 2014, the Securities and Exchange Commission (SEC) sanctioned Robare to a $50,000 … Continue reading
There are options for clients of former Dawson James Securities, Inc. broker Kevin Barbalance (CRD# 4456476) who suffered investment losses due to unsuitable investment recommendations. Barbalance was registered with Corinthian Partners, L.L.C. in Middletown, New Jersey from 2015 to 2016 … Continue reading
In May 2020, Morgan Stanley agreed to pay a $5 million penalty to settle with the Securities and Exchange (SEC), which charged the brokerage firm with providing misleading information to its clients in regard to trade execution services and transaction … Continue reading
On May 15, 2020, Erez Law was featured in Wall Street Journal’s article titled: When Failure Is an Option: A Trading Strategy Soaks Investors. Click here to download the article. Erez Law represents investors in the United States for claims … Continue reading