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Erez Law is currently investigating former Janney Montgomery Scott LLC financial advisor Scott Palmer (CRD# 817586) regarding unsuitable investments. Palmer was registered with Janney Montgomery Scott LLC in Hackensack, New Jersey from 2007 to 2017, when he was permitted to … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Robert Estevez (CRD# 3161419) regarding unsuitable investment recommendations. Estevez has been registered with Joseph Gunnar & Co. LLC in New York, New York since September 2016. Previously, he was … Continue reading
Erez Law is currently investigating Morgan Stanley financial advisor Anthony Mampieri (CRD# 1653703) regarding investment recommends in structured notes. Mampieri has been registered with Morgan Stanley in Columbus, Ohio since 2010. A structured note is a debt obligation that tracks … Continue reading
Erez Law is currently investigating former Oppenheimer & Co. Inc. financial advisor Gregg Templeton (CRD# 2412775) regarding misrepresentation and omissions. Templeton was registered with Oppenheimer & Co. in New York, New York from 2007 to 2015. Then, he was employed … Continue reading
Erez Law is currently investigating Wells Fargo financial advisor Richard Lucker (CRD# 2285760) regarding failure to supervise a customer’s account. Lucker has been registered with Wells Fargo in El Paso, Texas since 2014. Lucker was previously registered with Morgan Stanley … Continue reading
Erez Law is currently investigating former LPL Financial LLC financial advisor Thomas Andrews (CRD# 4587953) regarding defrauding clients by recommending they invest in fictitious investments. Andrews was registered with LPL Financial LLC in Salt Lake City, Utah from 2005 to … Continue reading
Erez Law is currently investigating financial advisors across the country employed by brokerage firms such as UBS Financial Services, Morgan Stanley, Merrill Lynch, Wells Fargo, RBC Capital Markets, Santander, Popular Securities and Oriental Financial Services, regarding investment recommendations in Puerto … Continue reading
Erez Law is currently investigating former Stifel, Nicolaus & Company, Inc. financial advisor James Cox (CRD# 2365633) regarding churning in customer accounts. Churning is an improper and unethical practice that occurs when a broker excessively trades in a client’s account … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Stephen Mosley (CRD# 4900781) regarding participating in outside business activities not vetted by his member firm. Mosley was registered with Ameriprise Financial Services, Inc. in Lake Havasu, Arizona … Continue reading
Erez Law is currently investigating former FSC Securities Corporation financial advisor Tim Cannady (CRD# 5267061) regarding bank fraud and a fraudulent investment fund. Cannady was registered with Roosevelt Equity Corporation in Charlotte, North Carolina from May to November 2011. Previously, … Continue reading