Erez Law is currently investigating former Cabot Lodge Securities LLC broker Ann Werts (CRD# 5057784) regarding GWG Holdings Inc. L Bonds losses. She has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado since 2021 and with AE Wealth Management, LLC in Lakewood, Colorado since 2021. Previously, she was registered with CL Wealth Management LLC in Denver, Colorado from 2009 to 2021 and with Cabot Lodge Securities LLC in Denver, Colorado from 2013 to 2021.
Ann Werts Customer Complaints
She has been the subject of two customer complaints between 2009 and 2022, one of which was closed without action, according to her CRD report:
February 2022. “Client alleges unsuitable investment and lack of due diligence on new offerings.” The customer is seeking $250,000 in damages and the case is currently pending. The complaint was regarding GWG Holdings Inc. L Bonds losses and took place while she was registered with Cabot Lodge Securities LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cabot Lodge Securities LLC may be liable for investment or other losses suffered by Ann Werts’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.