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Erez Law is currently investigating brokerage firms across the United States and Puerto Rico who recommended their clients invest in unsuitable Puerto Rico bonds. Puerto Rico suffers from long-term financial and economic deficiencies that rendered its credit increasingly more speculative. … Continue reading
Erez Law is currently investigating Raymond James Financial Services, Inc. financial advisor Kenneth Fitzpatrick (CRD# 1850858) regarding unsuitable energy sector investments. Fitzpatrick has been registered with Raymond James Financial Services, Inc. in Toms River, New Jersey since 2009. Former clients … Continue reading
Erez Law is currently investigating Wells Fargo Clearing Services, LLC financial advisor Jeffrey Mischel (CRD# 1374486) regarding customer complaints alleging misrepresentations related to Puerto Rico municipal bond purchases. Mischel has been registered with Wells Fargo Clearing Services, LLC in Carlsbad, … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisor Thomas Oliphint (CRD# 1172870) regarding outside business activities. Oliphint was registered with LPL Financial LLC in San Antonio, Texas from 2006 until December 2016 after he was terminated regarding, “Violation … Continue reading
Erez Law is currently investigating former Raymond James & Associates financial advisors Angela Graham West (CRD# 3004083) and Leon Rehak (CRD# 2331058) regarding unsuitability and excessive trading in the accounts of a retired customer. It has been recently reported that … Continue reading
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