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Erez Law is currently investigating Santander Securities, LLC regarding high risk and unsuitable investments in Puerto Rico municipal bonds and closed-end funds (CEFs) invested predominantly in Puerto Rico debt. Approximately 200 cases have been filed against Santander Securities regarding losses … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor John S. Simpson (CRD# 719367) regarding concentrated investment portfolios in the high risk energy sector. Many oil and gas companies have experienced price fluctuations over the past few … Continue reading
Erez Law is currently investigating Taylor Capital Management Inc. financial advisor Erick J. Arnett (CRD# 5007131) regarding participating in outside business activities without providing written notice to his member firm. Arnett has been registered with Taylor Capital Management Inc. in … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. financial advisor Shawn Derek Slaydek (CRD# 2995404) regarding losses from investments in the high risk energy sector and triple leveraged exchange traded funds (ETFs). Slaydek has been registered … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Gregg Brian Weiss (CRD# 2416959) regarding unsuitable recommendations in customer accounts. Weiss has been registered with Coastal Equities, Inc. in York, Pennsylvania since 2016. Previously, Weiss was registered with Morgan … Continue reading
Erez Law is currently investigating Merrill Lynch financial advisors across the country who recommended that United Parcel Service (UPS) employee clients invest in UPS stocks in the company’s Rampart Options Management Services Program. In June 2017, a former UPS employee … Continue reading
Erez Law is currently investigating UBS Financial Services financial advisors across the country who recommended investments in UBS Reverse Convertible Notes linked to the volatile energy sector. UBS recently settled a claim with the Securities and Exchange Commission (SEC) related … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Sheik Firdosh Khan (CRD# 2448117) regarding securities and investment fraud. Khan has been registered with Ameritas Investment Corp. in Murrieta, California from 2002 to 2013. In June 2017, the … Continue reading
Erez Law is currently investigating former FSC Securities Corporation financial advisor Justin Zegalia (CRD# 4133578) regarding bank fraud and a fraudulent investment fund. Zegalia was employed with Roosevelt Equity in Charlotte, North Carolina from September 2011 to August 2012. Previously, … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. financial advisor David Bruce White (CRD# 1382131) regarding unsuitable investment recommendations concentrated in the high risk oil and gas sector. White has been registered with Centaurus Financial, Inc. in Bloomfield Hills, Michigan … Continue reading