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In April 2018, a former client of Morgan Stanley won an award in a FINRA arbitration for compensatory damages for $6,000,000 plus $2,500 in filing fees for losses sustained. The investors were clients of financial advisor Barry Connell (CRD# 3070984). … Continue reading
There are options for customers of former Wells Fargo financial advisors Charles Frieda (CRD# 5502319) and Charles Lynch (CRD# 3004877) who are accused of over-concentration of securities in the speculative and high risk energy-sector in their customer accounts. Frieda and … Continue reading
Did you lose money investing with Summit Brokerage Services, Inc. broker Jeffrey Poosch (CRD# 2490703) regarding unsuitable investment recommendations? He has been registered with Prospera Financial Services, Inc. in Port Huron, Michigan, since 2021. Previously, he was registered with Summit … Continue reading
There are options for customers of Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Craig Mardany (CRD# 4356113) who suffered losses due to unsuitable investment recommendations. Mardany has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in … Continue reading
Erez Law is currently investigating financial advisor Eric Erb (CRD# 4595068) regarding a $3 million investment fraud. Erb was registered with Liberty Partners Financial Services, LLC in Babylon, New York from April 2013 to May 2014. Previously, Erb was registered … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Paulson Investment Company LLC broker Minish Hede (aka Minish “Joe” Hede) (CRD# 2389098). Hede was registered with Paulson Investment Company LLC in … Continue reading
There are options for customers of former Voya Financial Advisors, Inc. financial advisor James Knee (CRD# 1852920) who is alleged to misappropriate customer funds. Knee has been registered with Voya Financial Advisors, Inc. in Concord, New Hampshire from 2015 to … Continue reading
Erez Law is currently investigating barred financial advisors Gregg Schonhorn (CRD# 2400042) and Deborah Kelley (CRD# 1179082) regarding participating in the offering of a penny stock and participation in a pay-to-play pension bribery scheme involving the New York State Common Retirement … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. financial advisor Daniel Morris (CRD# 1046760) regarding unauthorized and unsuitable trades in customer accounts. Morris has been registered with Westport Capital Markets, LLC in Westport, Connecticut since 2016. Previously, Morris … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Morgan Stanley financial advisor Jennifer Salmon (CRD# 4730808) regarding failure to supervise customer accounts. Salmon has been registered with UBS Financial Services … Continue reading