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Erez Law is currently investigating K.C. Ward Financial financial advisor Carlos Nestor Evertsz-Seda (CRD# 4757897). Erez Law represents a client who alleges that Evertsz-Seda recommended a reckless and unsuitable investment strategy dangerously concentrated in speculative and high risk stocks. Erez … Continue reading
Erez Law is currently investigating Park Avenue Securities LLC financial advisor Lizabeth Gotuaco Ty (CRD# 4737319), also known as Beth Ty, regarding the sale of unregistered securities. Ty was registered with Park Avenue Securities in Houston, Texas from 2009 to … Continue reading
Erez Law is currently investigating K.C. Ward Financial financial advisor Craig David Dima (CRD# 2314389) regarding unsuitable trading. Dima was registered with K.C. Ward Financial in Ronkonkoma, New York from 2009 to 2017. He was permanently barred by FINRA from … Continue reading
Everyone is familiar with getting a second opinion when it refers to medical matters. Legal matters require the same actions. One lawyer’s opinion about the merits of a case are just that, one lawyer’s opinion. A client should not just … Continue reading
Erez Law is currently investigating claims related to RBC Capital Markets, LLC broker Samuel Kluft Koltun (CRD# 1739664) regarding numerous customer complaints alleging that he recommended an overconcentrated portfolio of unsuitable Puerto Rico bonds. Koltun has been in the financial … Continue reading
Erez Law is currently investigating former Wells Fargo financial advisor Jeffrey Alan Hill (CRD# 2204945) regarding initiating trades of municipal and corporate bonds for customers without their consent and recommending transactions that were not suitable for his customers. Hill was … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Tom Abel Puentes (CRD# 1713812) regarding time and price discretion in customer accounts to purchase municipal bonds. Puentes was registered with Morgan Stanley in Langley Washington from 2009 to 2014 … Continue reading
In the securities industry, churning occurs when an advisor excessively trades in a client’s account for the purpose of earning commissions. The practice is illegal in the United States under SEC rules. While the practice may benefit the advisor, it … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Barry Franklin Connell (CRD# 3070984) regarding fraud charges in which he is alleged to have misappropriated $5 million from his clients and have made more than 100 unauthorized transactions. Connell was … Continue reading
Erez Law is currently investigating WFG Investments, Inc. financial advisor Stuart Graham Dickinson (CRD# 1047824) regarding unsuitability of investment recommendations and lack of due diligence. Dickinson was registered with WFG Investments in Highland Park, Texas from 2005 to 2013. WFG … Continue reading