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Erez Law Files Multiple Claims Against Former NYLIFE Securities LLC Broker Felix Chu

Posted on Wednesday, March 3rd, 2021 at 12:00 am    

Erez Law is investigating NYLIFE Securities LLC and its former broker Felix Chu (CRD# 2427593) who allegedly solicited his client to invest in an unapproved illicit promissory note scheme.  Erez Law Files Claim on Behalf of Widow In February 2021, Erez Law filed a FINRA arbitration on behalf of a widow against Chu who allegedly… Read More

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Future Income Payments, Inc. Losses with Former ProEquities, Inc. broker David Phillips

Posted on Monday, March 1st, 2021 at 8:03 pm    

Erez Law is currently investigating former ProEquities, Inc. broker David Phillips (CRD# 3094195) regarding Future Income Playments, Inc. losses. Phillips has been registered with Moloney Securities Co., Inc. in Gilbert, Arizona from 2017 to 2018, when he was terminated regarding, “Failure to follow policies and procedures with respect to outside business activity.” Previously, Phillips was… Read More

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Investment Loss Options for Clients of Transamerica Financial Advisors, Inc. Broker Feng Luo

Posted on Monday, March 1st, 2021 at 8:01 pm    

Were you the victim of Transamerica Financial Advisors, Inc. broker Feng Luo (CRD# 5508192)? Luo has been registered with Transamerica Financial Advisors, Inc. in Rancho Cucamonga, California since 2012.  Luo has been the subject of one customer complaint, according to his CRD report: October 2020. “Claimants alleged that representative misrepresented and materially omitted facts in… Read More

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Morgan Stanley Broker Darryl Cohen Accused of Selling Away

Posted on Monday, March 1st, 2021 at 7:54 pm    

Erez Law is currently investigating Morgan Stanley brokers Darryl Cohen (CRD# 2786613) and Marc Cohen (CRD# 50025) regarding non-broker dealer product investment losses. The brokers are part of the Global Sports Entertainment Group at Morgan Stanley, which focuses on athletes and entertainers who are likely to have short-lived income streams. Cohen has been registered with… Read More

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Variable Annuity Investment Losses with Former Woodbury Financial Services, Inc. Broker Lisa Brumm

Posted on Monday, March 1st, 2021 at 7:48 pm    

Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Lisa Brumm (CRD# 2834764) regarding variable annuity investment losses. Brumm has been registered with Woodbury Financial Services, Inc. in Portland, Oregon from 2017 to 2020. Previously, Brumm was registered with AXA Advisors, LLC in Portland, Oregon from 2011 to 2017. In February 2021, FINRA… Read More

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Did You Lose Money Investing in CNL Healthcare Properties?

Posted on Monday, March 1st, 2021 at 7:47 pm    

Did you lose money investing in CNL Healthcare Properties? Erez Law is investigating brokers across the country who recommended their clients invest in CNL Healthcare Properties, a non-traded real estate investment trust (REIT) that seeks to provide income and growth by investing in senior housing and healthcare markets. The company closed to new investors on… Read More

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Real Estate Investment Losses with Centaurus Financial, Inc. Broker William Burks

Posted on Monday, March 1st, 2021 at 7:44 pm    

Erez Law is currently investigating Centaurus Financial, Inc. broker William Burks (CRD# 2944992) regarding real estate investment losses. Burks has been registered with Centaurus Financial, Inc. in Flower Mound, Texas since 2000. Burks has been the subject of eight customer complaints between 2010 and 2020, three of which were denied and one was closed without… Read More

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David Lerner Associates, Inc. Broker Charles Bonilla Energy Sector Loss Options

Posted on Tuesday, February 23rd, 2021 at 6:52 pm    

Erez Law is currently investigating former David Lerner Associates, Inc. broker Charles Bonilla (CRD# 2572107), who was recently suspended by FINRA. It is alleged that Bonilla recommended illiquid investments tied to the high-risk energy sector to customers of David Lerner Associates, Inc. It is alleged that David Lerner Associates, Inc. brokers recommended their clients invest… Read More

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Investment Loss Options of Former Suntrust Investment Services, Inc. Broker John Timberlake

Posted on Monday, February 22nd, 2021 at 7:52 pm    

Were you the victim of former Suntrust Investment Services, Inc. broker John Timberlake (CRD# 2109445)? Timberlake has been registered with Carter, Terry & Company, Inc. in Atlanta, Georgia from 2016 to 2020, when he was terminated regarding, “Violated Firm policy regarding the use of text messages with clients.” Previously, Timberlake was registered with Suntrust Investment… Read More

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Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC Fined $1 Million for Supervisory Failures

Posted on Monday, February 22nd, 2021 at 7:33 pm    

In December 2020, FINRA fined Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC $1 million, which included a $750,000 fine for Cetera Advisor Networks LLC, a $150,000 fine for Cetera Advisors LLC, and a $100,000 fine for Cetera Financial Specialists LLC. According to the Letter of Acceptance, Waiver & Consent, between… Read More

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