As the coronavirus pandemic rages on, forcing Americans to work from home on an unprecedented scale, there has been increased interest in teleworking technology, specifically videoconferencing software. As COVID-19 hammers the stock market, there is one company—and one stock—that everyone is talking about: Zoom Video Communications. Founded in 2011 by Eric Yuan, Zoom has become […]

Christopher Miller (CRD#: 4044818), a registered representative with Emerson Equity LLC (CRD#: 130032) in San Mateo, California, is currently involved in a pending customer dispute with an elderly client over a securitized Tenant-in-Common investment, according to his BrokerCheck record accessed on March 25, 2020.  How did this dispute come about? On February 23, 2020, a […]

Shelley Eddy (CRD#: 4862159), a registered representative with PeachCap Securities, Inc. (CRD#: 25590) in Atlanta, Georgia is currently involved in five pending customer disputes, according to her BrokerCheck record accessed on March 26, 2020. The clients are seeking nearly $200,000 in damages. On October 28, 2019, a client alleged that Shelley Eddy mismanaged her investments […]

Stocks, bonds, cash equivalents—your investment portfolio is composed of different asset categories. But a 25-year-old’s portfolio looks markedly different from that of a 65-year-old—or at least it should. As you age and move closer to retirement, your asset allocation should reflect your desire to preserve capital, which manifests itself as a decreased tolerance for risk. […]

The Securities and Exchange Commission (SEC) has barred former broker Herbert Hafen (CRD#: 867068), according to his BrokerCheck record accessed on March 25, 2020. This comes after he was barred by FINRA, was the subject of numerous customer complaints, and ultimately pled guilty to investment fraud. On September 4, 2019, before the U.S. District Court […]

The value of ETRACS Exchange Traded Notes, unsecured debt securities offered by UBS, has plummeted 60%, triggering mandatory redemption and raising questions about potential sales practice violations by UBS brokers. The securities attorneys of Fitapelli Kurta are interested in hearing from investors who invested in ETRACS. Read on to learn more about recent developments.  What […]

Michael Hood (CRD#: 1809589), a registered representative with Morgan Stanley (CRD#: 149777) in Greenwood Village, Colorado, is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, clients filed a customer complaint in which they allege, among other things, that Michael […]

Eladio Santiago (CRD#: 3060628), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543) in Fulton, Maryland, is currently involved in two customer disputes in which clients allege that he recommended unsuitable investment products and mismanaged their portfolios, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, Eladio Santiago became […]

John Grillo (CRD#: 2643787), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543), is currently involved in a pending dispute over unsuitable investments, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a client filed a customer complaint against John Grillo, alleging that John Grillo misrepresented a fund he […]

Mickey Schreiber (CRD#: 1032600), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a customer is seeking nearly $100,000 in damages, according to his BrokerCheck record accessed on March 24, 2020.  On February 11, 2020, a client filed a complaint […]

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