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Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Robert Hoffmann (CRD# 4008798) regarding unsuitable recommendations. He was registered with Thurston, Springer, Miller, Herd & Titak, Inc. in Indianapolis, Indiana from April to May 2017, and previously with … Continue reading
Erez Law is currently investigating former National Planning Corporation broker William Glaser (CRD# 1274847) regarding selling away. Glaser was registered with National Planning Corporation in St. Albans Rd, Missouri from 2007 to 2017, when he was terminated regarding, “The firm … Continue reading
Erez Law is currently investigating former UBS Financial Services, Inc. financial advisor Erik Littlejohn (CRD# 1910841) regarding energy sector losses. Littlejohn has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, Texas since 2015. Previously, he was … Continue reading
Erez Law is currently investigating Madison Avenue Securities financial advisor David Barber (CRD# 1165082) regarding churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. Barber has been registered with Madison Avenue Securities, LLC in San Diego, … Continue reading
Erez Law is currently investigating Janney Montgomery Scott LLC financial advisor Jack Griffith Jr. (CRD# 1446978) regarding energy sector losses. Griffith has been registered with Janney Montgomery Scott LLC in Columbia, South Carolina since 2014. Previously, he was registered with … Continue reading
Erez Law recently filed a FINRA arbitration against David Lerner Associates. The Erez Law clients allege that David Portnoy (CRD #705396) and Scott Ente (CRD #2612038), who were registered representatives of David Lerner Associates, recommended the customers (a retired married … Continue reading
Erez Law recently filed a $358,000 FINRA arbitration against Oppenheimer & Co. Inc. and National Securities Corp. for Puerto Rico bond losses. The Erez Law customer alleges that Richard Strauss (CRD #1487648), who was a registered representatives of Oppenheimer & … Continue reading
Erez Law is currently investigating former National Securities Corporation financial advisor Raj Raghani (CRD# 4858036) regarding negligence and other securities violations. Raghani has been registered with Joseph Stone Capital L.L.C. in Aventura, Florida May 2017. Previously, he was registered with … Continue reading
Erez Law is currently investigating Capitol Securities Management, Inc. financial advisor Teryl Trenchard (CRD# 2869321) regarding fraud and other securities violations. Trenchard was registered with Capitol Securities Management, Inc. in Reston, Virginia from 2009 to 2017, before he was terminated … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Chad Hornaday (CRD# 2776038) regarding selling away. Hornaday was registered with Axa Advisors, LLC in Carlsbad, California from 2013 to 2016, when he was terminated regarding, “RR was permitted … Continue reading