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Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of a doctor’s estate for more than $295,000 in losses related to UBS/UBS-PR … Continue reading
Erez Law is investigating claims regarding Jeffrey Brian Meyer (CRD #4111125, Lake in the Hills, IL), who has been named a respondent in a FINRA complaint alleging that he acted outside the scope of his employment with his member firms … Continue reading
Erez Law is investigating claims involving Center Street Securities and GWG Renewable Secured Debentures. Center Street Securities, Inc. (CRD #26898, Nashville, Tennessee) submitted an AWC in which the firm was censured; fined $100,000, which includes disgorgement of approximately $27,000; and … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered more than $280,000 in losses related to … Continue reading
Erez Law is investigating claims regarding Jay John Soojian (CRD #2768599, Wayne, New Jersey). Soojian recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was barred from association with any FINRA member in any capacity. … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against Santander Securities, LLC, and UBS Financial Services, Inc., and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of an elderly couple who suffered $1.2 million in … Continue reading
Erez Law is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $5,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding claims regarding AIC promissory notes and stock. In a 2011 complaint filed by the SEC against AIC, Inc., Community Bankers Securities, LLC, and Nicholas D. Skaltsounis, the SEC alleged that Skaltsounis devised and orchestrated … Continue reading
Erez Law is investigating claims regarding Reginald Maurice Berthiaume Jr. (CRD #2702903, Orlando, Florida) , also known as Reggie Berthiaume. Berthiaume recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine … Continue reading
Erez Law and Aldarondo & Lopez Bras recently filed a claim against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico (“UBS”) on behalf of three elderly brothers who suffered more than $200,000 in losses related to … Continue reading