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Erez Law is currently investigating former UBS Financial Services Inc. financial advisor William Paynter Jr. (CRD# 2835535) regarding unsuitable and overconcentrated investments in the high risk oil and gas sector. Paynter has been registered with Wells Fargo Clearing Services, LLC … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC financial advisor Winston Turner (CRD# 5965386) regarding falsified client information related to variable annuities. Turner was registered with Pruco Securities, LLC in Sarasota, Florida from 2013 to 2015, when he was … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor Michael Lavolpe (CRD# 5054798) regarding unsuitable investments. Lavolpe was registered with Meyers Associates, L.P. in New York, New York from 2006 to 2014. In June 2017, FINRA suspended Lavolpe … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Dennis Lee (CRD# 2339083) regarding unsuitable recommendations. Lee was registered with Axa Advisors, LLC in Middle Village, New York from 1993 to 2015, when he was terminated regarding, “RR … Continue reading
Erez Law is currently investigating former Woodbury Financial Services, Inc. financial advisor Robert Hoffman (CRD# 4008798) regarding unauthorized trades, churning and unsuitable investment recommendations. Hoffman was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Todd Ellentuck (CRD# 1321452) regarding excessive fees and commissions, unauthorized trades in Puerto Rico bonds, overconcentrated investments in MLPs, unsuitable structured products, and losses tied to the high … Continue reading
Erez Law is currently investigating the former Wedbush Securities financial advisor Mark Augusta (CRD# 1333913) regarding elder abuse. Augusta has been registered with Hilltop Securities in Del Mar, California since May 2015. Previously, Augusta was registered with Wedbush Securities Inc. … Continue reading
Erez Law is currently investigating former Investment Planners, Inc. financial advisors William Brunner (CRD# 2610348) and Kelly Gunn (CRD# 5332047) regarding churning and unauthorized trades in customer accounts. Brunner was registered with Investment Planners, Inc. in Huntington, New York from … Continue reading
Erez Law is currently investigating VFG Securities, Inc. financial advisor Mark Trewitt (CRD# 1364490) regarding losses suffered from investments in Aequitas Income Opportunity Fund II, Vertical Capital Recovery Fund, and Cole Capital Income Trust. Trewitt has been registered with VFG … Continue reading
Erez Law is currently investigating financial advisors across the country who recommended investments in EnerVest Ltd., a Houston, Texas-based oil and gas company that has been focusing on energy investments since 1992. Once rated as one of the top 25 … Continue reading