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Erez Law is currently investigating former PFS Investments broker Raymi Valdes (CRD# 6006427), who was recently barred by FINRA related to merchant cash advances investment losses. According to FINRA, Raymi Valdes entered the securities industry in 2018 as a non-registered … Continue reading
There are options for clients of Citigroup Global Markets Inc. broker Rabih Msallem (CRD# 3199470) who is alleged to make recommendations that led to structured notes investment losses. He has been registered with Citigroup Global Markets Inc. in Glendale, California … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Arkady Ginsburg (CRD# 5256747) regarding unsuitable trading in customer accounts. He has been registered with Aegis Capital Corp. in New York, New York since 2014. In March 2022, FINRA sanctioned him … Continue reading
Former First Allied Securities, Inc. broker Kevin Asano (CRD# 4450052) is accused of real estate securities losses. He has been registered with Cetera Advisors LLC in Honolulu, Hawaii since 2022 and with Cetera Investment Advisers LLC since 2020. Previously, he … Continue reading
There are options for customers of former Cetera Investment Services LLC broker Lok Wong (CRD# 6100689) who is accused of recommending real estate securities that led to investment losses. He was registered with the following brokerage firms: TD Ameritrade, Inc. … Continue reading
Were you the victim of JRL Capital Corporation broker Joseph Nelson (CRD# 2180626) who is alleged to recommend GWG Holdings Inc.? He has been registered with JRL Capital Corporation in Irvine, California since 2017. Previously, he was registered with Westpark … Continue reading
Hilltop Securities Inc. broker Martin Winges (CRD# 1929509) faces a customer complaint regarding unsuitable investment recommendations. He has been registered with Momentum Independent Network Inc. in Dallas, Texas since 2019 and with Hilltop Securities Inc. in Dallas, Texas since 2019. … Continue reading
There are options for clients of Voya Financial Advisors, Inc. broker Craig Friedrichsen (CRD# 2774629) who suffered losses due to real estate securities investments. He has been registered with Pruco Securities, LLC in Overland Park, Kansas since 2020 and with … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Alexander Phillips (CRD# 1730948) who is alleged to make unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Los Angeles, California since 2008. Alexander Phillips Customer … Continue reading
Erez Law is currently investigating brokers across the United States who recommended their clients invest in JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return. It is alleged that brokers unsuitably recommended … Continue reading