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Were you the victim of Coastal Equities, Inc. financial advisor Sam Aziz (CRD# 1721932)? Aziz was registered with David A. Noyes & Company in Dublin, Ohio from July to November 2018, when he was terminated regarding, “While under internal investigation, … Continue reading
Were you the victim of the Woodbridge Group of Companies scheme? The Woodbridge Group of Companies was a southern California luxury real estate developer. It is alleged that unregistered brokers sold unregistered securities in the purchase and sale of securities. … Continue reading
In January 2019, The Securities and Exchange Commission (SEC) filed charges against Phillip Carter, a resident of Texas and real estate developer, as well as Bobby Guess (CRD# 1135068) and Richard Tilford and related entities for conducting a multi-million dollar … Continue reading
Erez Law is currently investigating former PNC Investments financial advisor Robert Jamison (CRD# 5793591) regarding selling unapproved products (also known as selling away). Jamison has been registered with the following brokerage firms during the past few years: PNC Investments in … Continue reading
In January 2019, a former client of Quest Capital Strategies, Inc. won an award in a FINRA arbitration for compensatory damages for $235,000 in compensatory damages and $41,226.46 in costs for losses sustained from investments in promissory notes of the … Continue reading
In December 2018, a former client Next Financial Group Inc. won an award in a FINRA arbitration for compensatory damages for $2,004,423 plus $6,200 as reimbursement for the initial filing fee and hearing session fees for losses sustained from investment … Continue reading
Were you the victim of former Morgan Stanley broker Ami Forte (CRD# 2457536)? Forte was registered with Pinnacle Investments, LLC in Syracuse, New York from March to October 2018. Forte was registered with Morgan Stanley in Palm Harbor, Florida from … Continue reading
In January 2019, two former clients of Capitol Securities Management, Inc. won an award in a FINRA arbitration for compensatory damages for a total of $2.38 million for losses sustained from excessive trading, unauthorized fund transfers and withdrawals, and fraud. … Continue reading
Hennion & Walsh, Inc. financial advisor Patrick Walsh (CRD# 2383640) is accused of unsuitable investment recommendations in municipal debt. Walsh has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1993. Walsh has been the subject of … Continue reading
Did you suffer losses due to investments with National Securities Corporation financial advisor Robert Abramowitz (CRD# 4437589)? Abramowitz has been registered with National Securities Corporation in Melville, New York since December 2017. Previously, Abramowitz was registered with Oppenheimer & Co. … Continue reading