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Erez Law is currently investigating New York area financial advisor Rafael Santiago (CRD# 2494647) regarding losses sustained from investments in VGTel stock. Santiago was registered with the following firms in the past few years: Primary Capital, LLC in New York, … Continue reading
Erez Law is currently investigating former New England Securities financial advisor James Kolf (CRD# 1015682) regarding defrauding investors out of $1 million in an investment scheme. Kolf was registered with NYLife Securities LLC in Madison, Wisconsin from May to August … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Cory Brunell (CRD# 3260340) regarding losses sustained from unsuitable recommendations in inverse exchange traded funds (ETFs). Brunell was registered with LPL Financial LLC in Valley Springs, California from 2007 … Continue reading
Erez Law is currently investigating former WFG Investments, Inc. financial advisor Tim Couch (CRD# 4073942) regarding unsuitable recommendations, misrepresentations and high frequency trading in customer accounts. Couch has been registered with Dempsey Lord Smith, LLC in Dawsonville, Georgia since August … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Chad Hornaday (CRD# 2776038) regarding selling unregistered securities and embezzling money. Hornaday was registered with Axa Advisors, LLC in Carlsbad, California from 2013 to 2016 when he was terminated … Continue reading
Erez Law is currently investigating Arizona-based Stephen Hatch (CRD# 239625) who recently pled guilty to a $70 million real-estate Ponzi scheme that preyed on 110 investors. Hatch has a limited CRD report on the FINRA website that does not list … Continue reading
Erez Law is currently investigating Prospera Financial Services, Inc. financial advisor John Crook (CRD# 2715424) regarding unauthorized and unsuitable trades, churning and excessive commissions and negligence. Crook has been registered with Prospera Financial Services, Inc. in Macon, Georgia since 2015. … Continue reading
Erez Law is currently investigating IMS Securities, Inc. financial advisor Jackie Wadsworth (CRD# 2342163) regarding fraud, negligence and due diligence. Wadsworth has been registered with IMS Securities, Inc. in Houston, Texas since 1994. Wadsworth has been the subject of nine … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. financial advisor Michael Keane (CRD# 265697) regarding unsuitable recommendations in energy stocks. Keane has been registered with UBS Financial Services Inc. in Melville, New York from 2007 to 2016. He … Continue reading
Erez Law is currently investigating former Metlife Securities Inc. financial advisor Bryan Anderson (CRD# 3116269), who is currently serving seven years in federal prison for running a Ponzi scheme. Anderson was registered with Pruco Securities, LLC in Birmingham, Alabama from … Continue reading