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Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Tom Gilliam Parks Jr. (CRD# 1558909) regarding unsuitable investment recommendations. Parks was registered with Stephenville, Texas from 1993 to 2016. In April 2016, Parks was terminated from employment … Continue reading
Erez Law is currently investigating Purshe Kaplan Sterling Investments financial advisor Bruce Benjamin Greenwald (CRD# 1413095) regarding unsuitable investment recommendations and misrepresentation. Greenwald has been registered with Purshe Kaplan Sterling Investments in Park City, Utah since July 2016. Previously, he … Continue reading
Erez Law is currently investigating former Source Capital Group, Inc. financial advisor Mark Robert Holcombe (CRD# 2901441) regarding outside business activities. Holcombe has been registered with Source Capital Group, Inc. in Westport, Connecticut from 2014 to 2015. FINRA has suspended … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Inc. financial advisor John Kirkland Moy (CRD# 848350) regarding high risk and unsuitable investments. Moy has been registered with Merrill Lynch in West Palm Beach, Florida since 2005. Recently, … Continue reading
In May 2017, Puerto Rico filed for bankruptcy protection from creditors in what is being described as the largest municipal bankruptcy filing in history. Court protection from litigation as part of the debt-relief law (Title III) passed by Congress in … Continue reading
Erez Law is currently investigating J.P. Morgan financial advisors across the country who recommended an investment strategy concentrated in the volatile energy sector. A retired widow and novice investor from Wisconsin recently filed a FINRA arbitration against J.P. Morgan for … Continue reading
Erez Law is currently investigating former Meyers Associates, L.P. financial advisor David Leonard Sheppard (CRD# 2527279) regarding excessive trading and churning in customer accounts. Sheppard was with Meyers Associates, L.P. in New York, New York from December 2015 to October … Continue reading
Erez Law is currently investigating former Lincoln Investment financial advisor Walter Joseph Marino (CRD# 2121623) regarding misrepresentation, suitability and excessive commissions. Marino was registered with Benjamin Securities, Inc. in Hauppauge, New York from November to December 2016. He was previously … Continue reading
Erez Law is currently investigating financial advisor Demitrios Hallas (CRD# 4199832) regarding excessive trading and churning in customer accounts. Hallas was last registered with PHX Financial, Inc. in New York, New York in from August to December 2015. Previously he … Continue reading
In April 2017, Government Development Bank (GDB) for Puerto Rico decided to liquidate and proposed a fiscal plan that calls for winding down its operations during the next 10 years. The bank can’t repay its obligations to bondholders and is … Continue reading