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Erez Law is currently investigating former UBS Financial Services financial advisor William Andrew Hightower (CRD# 2152369) regarding recommendations for investments in unapproved private securities transactions. Hightower was registered UBS Financial Services Inc. in Houston, Texas from 2007 to 2013 and … Continue reading
Erez Law is currently investigating former Investors Capital Corp. financial advisor Donnie Eugene Ingram (CRD# 1416971) regarding unsuitable investment recommendations. Ingram was registered with Investors Capital Corp. in Winter Haven, Florida from 1997 to 2016. He has been registered with … Continue reading
Erez Law is currently investigating former Rhodes Securities, Inc. financial advisor Christopher Paul Anthony (CRD# 1157930). Anthony was registered with Rhodes Securities in Forth Worth, Texas from 1995 to 2015. Anthony was terminated from his employment at Rhodes Securities regarding … Continue reading
Erez Law is currently investigating former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) regarding outside business activities for an unregistered and illiquid company. Parthemer was registered with Wells Fargo in Fort Lauderdale, Florida from 2011 to 2015 and Morgan … Continue reading
In February 2017, a Stifel, Nicolaus & Company, Inc. customer won an award in a FINRA arbitration for compensatory damages in the amount of $79,709 plus $26,304 in attorneys’ fees and $11,342 in costs from losses sustained sustained in a … Continue reading
Erez Law is investigating customer complaints against VFG Securities and brokerage firms across the United States for overconcentration of Macquarie Equipment Leasing Fund, LLC, a private placement. Based in Australia, Macquarie Equipment Leasing Fund provides individual investors in the United … Continue reading
Erez Law is currently investigating former Credit Suisse Securities financial advisor Sanford Michael Katz (a.k.a. Sandy) (CRD# 1558898) regarding breach of fiduciary duty in connection with the purchase and recommendation of mutual fund shares for his clients. Katz has been … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Kirk J. Gill (CRD# 2291503) regarding unsuitable and overconcentrated investments. Gill was registered with First Financial Equity Corporation in Tucson, Arizona from 2016 to 2018, when he was terminated regarding, “Failure … Continue reading
Erez Law is currently investigating Foothills Securities, Inc. (CRD# 1027) in Santa Clara, California regarding its failure to establish a reasonable supervisory system and procedure concerned the sale of non-liquid Real Estate Investment Trusts (REITs) in amounts that exceeded the … Continue reading
Erez Law recently filed a FINRA claim against Wells Fargo financial advisor Jose Antonio Vidal (CRD# 2858442) regarding unsuitable investments between 2009 through 2016. Vidal has been registered with Wells Fargo in Coral Gables, Florida since 2009 and was previously … Continue reading