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Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith financial advisors across the country regarding recommendations of investments in a structured product called Buffered Strategic Equity Exposure Performance Linked Securities (STEEPLS), offered by Bank of America. In February … Continue reading
Erez Law is currently investigating financial advisors across the country regarding investment recommendations in Puerto Rico COFINA bonds. The Puerto Rico Urgent Interest Fund Corporation, which is also known as the Puerto Rico Sales Tax Financing Corporation (or Corporación del … Continue reading
Erez Law recently filed a FINRA arbitration against Raymond James & Associates, Inc. and financial advisor Clay Cale Rucker (CRD #1347169) regarding mismanagement of a customer account that resulted in significant damages. Rucker has been registered with Raymond James & … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. financial advisor John Carolyn (CRD# 4485799) regarding overconcentrated investments in the oil and gas sector. Carolyn has been registered with UBS Financial Services Inc. in Houston, Texas since 2002. Many oil … Continue reading
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