Sonn|Erez, PLC Investigates into Douglas Robert Moline of Janney Montgomery Scott

Categories: Investigations

Sonn|Erez is investigating claims related to broker Douglas Robert Moline (CRD#4911158). Moline is currently associated with Janney Montgomery Scott LLC (“Janney”) in Stuart, Florida having worked there since August 29, 2008. Prior to joining Janney, Moline was associated with Citigroup Global Markets, INC (“CGMI”) in Stuart, Florida from May 2005 through September 2008. Complaints against…

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Sonn and Erez PLC Investigating Claims Against Credit Suisse Regarding Broker Deferred Compensation

Categories: Broker Compensation

Credit Suisse announced in October 2015 that it was shutting down its US private banking business and had reached a deal with Wells Fargo & Company for Credit Suisse brokers and clients to transition to Wells Fargo’s brokerage business, Wells Fargo Advisors.  While many Credit Suisse brokers took opportunities with Wells Fargo, other chose to…

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Sonn|Erez, PLC Investigating Merrill Lynch for sales of Strategic Return Notes

Categories: FINRA Disciplinary Action

Facing potential complaints from investors in Strategic Return Notes (SRNs), two Merrill Lynch financial advisors, Glen Ringwall and Mark Manion, took it upon themselves to record conversations with Merrill Lynch management. During the calls, the advisors were told to avoid customer complaints and not suggest to their clients that the product was flawed. The advisors…

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Sonn|Erez, PLC Investigation into Kim Dee Isaacson of Ameriprise Financial Services

Categories: Broker Misconduct

Sonn|Erez is investigating claims related to broker Kim Dee Isaacson (CRD#855618). Isaacson is currently employed by Ameriprise Financial Services, Inc. in Midvale, Utah. Prior to Ameriprise, Isaacson was employed by Morgan Stanley from December 2008 until his resignation in February 2014. A month after Isaacson left Morgan Stanley, a Financial Industry Regulatory Authority (“FINRA”) arbitration…

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Sonn|Erez, PLC Investigation into Charles Frieda

Categories: Broker Misconduct

Sonn|Erez is investigating claims related to Charles Frieda (CRD #5502319).  Frieda currently is associated with Wells Fargo Advisors, LLC (“Wells Fargo”) in Irvine, California and has been with Wells Fargo since October 2012. Prior to joining Wells Fargo, Frieda was associated with Morgan Stanley from June 2009 through October 2012. Pending Customer Complaints Cite Energy Related…

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Sonn|Erez Investigating Claims of Excessive Trading and Churning Former Craig Scott Capital Broker Edward Beyn

Categories: Broker Misconduct

Sonn|Erez is investigating claims related to New York broker Edward Beyn (CRD# 5406273). Beyn recently was named as respondent in a FINRA complaint alleging that he excessively traded and churned customers’ accounts.  Beyn was associated with Rothschild Lieberman, LLC, from September 2015 through March 2016. Beyn previously was associated with Craig Scott Capital, LLC, from…

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