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Erez Law is investigating claims regarding Ted Wayne Cadwallader (CRD #3256070, North Tonawanda, New York). Cadwallader recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2014042259701. Cadwallader … Continue reading
Erez Law is investigating claims involving Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) and David Bradley Tysk (CRD #1782289, Eden Prairie, Minnesota). Ameriprise recently was censured and fined $100,000. Tysk recently was fined $50,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding Marc William Evans (CRD #859585, Tulsa, Oklahoma) for selling investments in Global Safety Labs, Inc., and several real-estate related limited partnerships, none of which were approved by his member firm. Evans recently submitted an … Continue reading
The Securities and Exchange Commission recently announced charges against New York City-based brokerage firm VCAP Securities and its CEO, Brett Thomas Graham, for fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). VCAP and Graham … Continue reading
Erez Law is investigating claims regarding UBS’s V10 Enhanced FX Carry Strategy (“V10”), “in which the switch from long to short and back is systematically driven by a trading algorithm,” according to UBS’ website. When the European debt crisis hit … Continue reading
Erez Law is investigating claims regarding Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania). Evangelista recently submitted an AWC in which he permanently was barred from association with any FINRA member in any capacity. See FINRA Case #2012035327601. From November … Continue reading
Erez Law is investigating claims regarding Marc Halan Baldinger (CRD #1942349, Jensen Beach, Florida). Baldinger recently submitted an AWC in which he was assessed a deferred fine of $10,000, suspended from association with any FINRA member in any capacity for … Continue reading
Erez Law is investigating claims regarding Donald L. Bratten (CRD #1904756, North Platte, Nebraska). Bratten recently submitted an AWC in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity … Continue reading
Erez Law is investigating claims regarding Mark Jon Slocum (CRD #4303671, St. Paul, Minnesota). Slocum recently submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity … Continue reading
Erez Law is investigating claims regarding Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin). Noard recently was named a respondent in a FINRA complaint alleging that in June 2012 he made an unsuitable recommendation for investments in a GwG Renewable … Continue reading