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Erez Law is currently investigating former Park Avenue Securities financial advisor Lizabeth Gotuaco Ty (Beth Ty) (CRD# 4737319) regarding the sale of unregistered securities and an alleged $114 million Ponzi Scheme. Ty was registered with Park Avenue Securities in Houston, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Ronald Broadstone (CRD# 1043159) regarding unauthorized trading in customer accounts. Broadstone was registered with UBS Financial Services Inc. in New Albany, Ohio from 2007 to April 2017, when … Continue reading
Erez Law is currently investigating Corecap Investments, Inc. financial advisor Ernest Romer II (CRD# 2311741) regarding unauthorized trades and other acts of securities fraud. Romer was registered with Corecap Investments, Inc. in Sterling Heights, Michigan from October 2012 to January … Continue reading
Erez Law is currently investigating Enviso Capital, LLC and its principals, Ryan Bowers (CRD #3237368) and Jeffrey LaBerge (CRD #4847129) regarding losses sustained from investments in Bluefin Renewable Energy, LLC, a non-publicly traded company. Enviso Capital, LLC is a California … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. broker Luigi Mancusi (Lou Mancusi) (CRD# 2193040) regarding unauthorized trades in customer accounts. Mancusi has been registered David A. Noyes & Company in Lake Forest, Illinois since 2015. Previously, he … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. and Cetera Advisors, LLC financial advisor Abraham Heimann (CRD# 1315922) regarding unsuitable investments in the high risk energy sector. Heimann was registered with Cetera Advisors in Alpharetta, Georgia from 2013 … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Stephen Taft (CRD# 1927300) regarding losses sustained from investments in oil and gas master limited partnerships (MLPs). Taft has been registered with Morgan Stanley in New York, New York since 2009. … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Roger Zullo (CRD# 1882087) regarding the sale of large, illiquid and unsuitable high-commission variable annuities that generated substantial upfront profits. Zullo was registered with LPL Financial LLC in Boston, … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Jay Jordan (CRD# 1776666) regarding unsuitable purchases of non-traditional ETFs. Jordan has been registered with WFG Investments, Inc. in Oklahoma City, Oklahoma from 2005 to April 2016 when he … Continue reading
Erez Law is currently investigating former Wells Fargo Advisors financial advisor Jeffrey Grayson (CRD# 728985) regarding use of discretion in customer accounts. Grayson was registered with Wells Fargo Advisors in Florham Park, New Jersey from 2011 to December 2016. Previously, … Continue reading