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Erez Law is currently investigating Cetera Advisors LLC financial advisor James Christopher Hayne (CRD# 3257845) regarding a large list of allegation, including unsuitable recommendations, failure to diversify, excessive commissions, excessive trading, unauthorized trading, fraud, negligence, breach of contract, and failure … Continue reading
Erez Law is currently investigating recommendations from brokerage firms across the country who recommended overconcentrated investments in Breitburn Energy Partners LP, an independent oil and gas master limited partnership focused on the development and production of oil and gas properties … Continue reading
Erez Law is currently investigating brokers at Cetera Financial Specialists LLC (CRD# 10358), Investors Capital Corp. (CRD# 30613), VSR Financial Services, Inc. (CRD# 14503), Berthel, Fisher & Company Financial Services, Inc. (CRD# 13609), Sun America (previously registered investment advisor firm) … Continue reading
Money management advisors use many different terms to describe themselves. While some people use descriptive terms interchangeably, financial service providers offer different levels of customer care and support. Understanding what a professional can offer and his or her credentials will … Continue reading
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