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Have you suffered losses due to investment recommendations made by former Herbert J. Sims & Co. Inc. financial advisor Laurence Greene (CRD# 604082) regarding unsuitable oil and gas securities and Puerto Rico bond recommendations? Greene has been registered with Herbert … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Charles Poulin (CRD# 6229037) regarding unsuitable investment recommendations. Poulin has been registered with Aegis Capital Corp. in New York, New York since 2014. Poulin has been the subject of one … Continue reading
In October 2018, a former client of Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS Financial Services, Inc. settled an award in a FINRA arbitration for compensatory damages and received $70,000 for losses sustained from investments in the high … Continue reading
Erez Law recently filed a $550,000 FINRA arbitration against Wells Fargo for high-risk energy sector losses. The former Wells Fargo customer alleges that John Leonard (CRD #2113842), who was a registered representatives of Wells Fargo in Toledo, Ohio from 2008 … Continue reading
In September 2018, a former client of UBS Financial Services Inc. settled a FINRA arbitration for $1.5 million for losses sustained from investment in VelocityShares 3x Long Crude ETN and Valeant Pharmaceutical International, Inc. The investor was a client of … Continue reading
In September 2018, a former client of Cambridge Investment Research, Inc. won an award in a FINRA arbitration for compensatory damages for $41,270.44 plus 2% interest for losses sustained from investments in LJM Preservation and Growth Fund. The investors were … Continue reading
In September 2018, a former client of Wells Fargo Advisors, LLC won an award in a FINRA arbitration for compensatory damages for $75,383.75 plus 10% interest per annum for investment losses in Quicksilver Resources Senior Notes. The investors were clients … Continue reading
Former UBS Financial Services Inc. financial advisor Alex Herrera (CRD# 3204779) barred by FINRA regarding unreported outside business activities and private securities transactions. Herrera was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2018. In … Continue reading
Erez Law is currently investigating former Raymond James Financial Services financial advisor Steve Reznik (CRD# 1067199) regarding recommendations and/or unauthorized purchases of risky biotech stocks such as: Achaogen, Acadia Pharmaceuticals, Celgene, Clovis, Gilead Sciences, and Ziopharm Oncology. Erez Law is … Continue reading
Erez Law is currently investigating Ameriprise Financial Services financial advisors across the country regarding unsuitable alternative investments in client portfolios. In October 2018, Ameriprise Financial Services, Inc., based in Minneapolis and with branch offices in New Jersey, agreed to pay … Continue reading