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Erez Law is currently investigating LPL Financial LLC financial advisors across the country regarding excessive amounts of alternative investments in client portfolios. In October 2017, the State of New Jersey, Bureau of Securities fined LPL Financial LLC $950,000 and ordered … Continue reading
Erez Law is currently investigating brokerage firms across the United States and Puerto Rico who recommended their clients invest in unsuitable Puerto Rico bonds. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Kenneth Fitzpatrick (CRD# 1850858) regarding unsuitable energy sector investments. Fitzpatrick has been registered with Raymond James Financial Services, Inc. in Toms River, New Jersey since 2009. Former clients … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC financial advisor Jeffrey Mischel (CRD# 1374486) regarding customer complaints alleging misrepresentations related to Puerto Rico municipal bond purchases. Mischel has been registered with Wells Fargo Clearing Services, LLC in Carlsbad, … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisor Thomas Oliphint (CRD# 1172870) regarding outside business activities. Oliphint was registered with LPL Financial LLC in San Antonio, Texas from 2006 until December 2016 after he was terminated regarding, “Violation … Continue reading
Erez Law is currently investigating former Raymond James & Associates financial advisors Angela Graham West (CRD# 3004083) and Leon Rehak (CRD# 2331058) regarding unsuitability and excessive trading in the accounts of a retired customer. It has been recently reported that … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Andrew Yocum (CRD# 4590723) regarding unauthorized transactions, use of discretion without written authorization, and recommending unsuitable concentrated purchases of energy-sector securities to senior investors. Yocum has been registered with Summit … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Jason Anderson (CRD# 4370191), regarding unauthorized trading, churning and mismanagement of customer accounts. Anderson was registered with IFS Securities in Beaumont, Texas from May 2016 to April 2017. Previously, … Continue reading
Erez Law is currently investigating Wells Fargo financial advisors across the country regarding losses sustained from unsuitable recommendations of volatility-linked exchange-traded products (ETPs). In October 2017, FINRA ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC … Continue reading
Erez Law recently filed a FINRA arbitration against Wells Fargo Advisors, LLC. The San Francisco, California resident was a customer of former Cetera Advisors, LLC financial advisor Steven Richardson (CRD# 1074713). Their customer alleges that Richardson, who was registered with … Continue reading