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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
Erez Law is currently representing investors in FINRA arbitration claims related to former Morgan Stanley financial advisor Angel Aquino (CRD# 2687333). The Erez Law client alleges that Aquino was dangerously concentrating her investment portfolio in high risk and unsuitable Puerto … Continue reading
Erez Law recently filed a $500,000 FINRA arbitration against Invex, LLC. The former Invex, LLC customers allege that the Miami, Florida-based firm recommended a speculative and unsuitable strategy of concentrating the elderly couple’s portfolio in three high risk, complex and … Continue reading
Erez Law continues to investigate claims against former RBC Capital Markets, LLC financial advisor Paul Blum (CRD# 735003) regarding recommending unsuitable Puerto Rico bonds. Erez Law previously reported on Blum for his speculative energy sector recommendations in September 2017 here … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Steven Luftschein (CRD# 2690117) regarding unsuitable recommendations, unauthorized trades and other securities violations. Luftschein was registered with Joseph Stone Capital L.L.C. in Huntington, New York from May 2017 to May … Continue reading
Erez Law is currently investigating former Waddell & Reed financial advisor Steven Fonda (CRD# 2198086) regarding negligence, discretionary trading and unsuitable investments. Fonda has been registered with Waddell & Reed in Reno, Nevada from 2009 to February 2017, when he … Continue reading
Erez Law is currently investigating International Assets Advisory, LLC financial advisor Michael Spolar (CRD# 2192992) regarding unsuitable recommendations and unauthorized trades in customer accounts. Spolar has been registered with International Assets Advisory, LLC in Orlando, Florida since April 2015. Previously, … Continue reading