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Former IBN Financial Services, Inc. financial advisor Anthony Diaz (CRD# 4131948) is alleged to engage in unauthorized trades and over concentrate customer accounts. Diaz was registered with IBN Financial Services, Inc. in Scotrun, Pennsylvania from 2012 to 2015. Previously, he … Continue reading
There are options for customers of Geneos Wealth Management, Inc. financial advisor Bradley Tennison (CRD# 1561988) who is alleged to engage in selling an investment away from his firm. Tennison was registered with Geneos Wealth Management, Inc. in Mesa, Arizona … Continue reading
Were you the victim of Joseph Stone Capital L.L.C. financial advisor Erik Pica (CRD# 4829533) regarding overconcentrated and unsuitable investment recommendations? Pica has been registered with Joseph Stone Capital L.L.C. in New York, New York since 2015. Previously, Pica was … Continue reading
Erez Law is currently investigating Rhodes Securities owner and chairman Jim Gordon Rhodes (CRD# 813870), CEO J. Gordon Rhodes (CRD# 4763582) and president and COO Marilyn Zehntner (CRD# 2645697) regarding breach of fiduciary duty, negligence, and breach of contract. Rhodes … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Gerardo Latimer-Janer (CRD# 2491626) regarding Puerto Rico bond losses. Latimer-Janer has been registered with Morgan Stanley in Ft. Lauderdale, Florida since 2014. Puerto Rico suffers from long-term financial and economic deficiencies … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Michael Arteca (CRD# 4550695) regarding investment losses due to real estate investment trusts (REITs). Arteca has been registered with Pruco Securities, LLC in Uniondale, New York since September 2017. … Continue reading
There are options for customers former Oppenheimer & Co. Inc. financial advisor Paul Dangelo (CRD# 1837472) who is alleged to recommend unsuitable Puerto Rico bonds that resulted in investment losses. Dangelo was registered with Oppenheimer & Co. Inc. in Saddle … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. financial advisor Kimberly Kitts (CRD# 2768200) regarding misappropriated funds. Kitts was registered with Royal Alliance Associates, Inc. in Palmer, Massachusetts from 2004 to November 2017, when she was terminated regarding, … Continue reading
Erez Law is currently investigating Aegis Capital Corp. financial advisor Dominick Diorio (CRD# 2447817) regarding unauthorized and unsuitable investment recommendations. Diorio has been registered with Aegis Capital Corp. in Melville, New York since 2011. Diorio has been the subject of … Continue reading
J.J.B. Hilliard, W.L. Lyons, LLC financial advisor Michael Barnett (CRD# 5792242) has numerous pending customer complaints regarding losses sustained from investments in Breitburn Energy Partners Limited Partnership and other acts of securities fraud. Barnett has been registered with J.J.B. Hilliard, … Continue reading