Erez Law is currently investigating brokers across the country who recommended their clients invest in RealSource Equity Services LLC. It is alleged that brokers across the country recommended their clients invest in RealSource Equity Services LLC, despite the investment not … Continue reading
In November 2020, FINRA censured and fined First Clearing, LLC $300,000 regarding non-compliant valuation information sent to more than 2,390 customers regarding their investments in Direct Participation Programs (DPPs) or Real Estate Investment Trusts (REITs). FINRA alleged that First Clearing … Continue reading
Were you the victim of Berthel, Fisher & Company Financial Services, Inc. broker Robyn Simons (CRD# 1538638)? Simons was registered with Berthel, Fisher & Company Financial Services, Inc. in Layton, Utah from 2008 to 2017. Simons has been the subject … Continue reading
There are options for clients of former LPL Financial LLC broker James Couture (CRD# 4406284) who suffered investment losses. He was registered with LPL Financial LLC in Worcester, Massachusetts, from 2009 to 2020, when he was terminated regarding “Altered identifying … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with RBC Capital Markets, LLC broker Christopher Phillips (CRD# 4761544). Phillips has been registered with RBC Capital Markets, LLC in Stamford, Connecticut since 2018. … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Joe Franklin (CRD# 2673133) regarding investment losses. Franklin was registered with LPL Financial LLC in Hixson, Tennessee from 2010 to April 2020. Franklin has been the subject of three customer … Continue reading
There are options for clients of former Centaurus Financial, Inc. and LPL Financial LLC broker Galen Kopman (CRD# 3011906) who suffered investment losses. Kopman was registered with Centaurus Financial, Inc. in Vancouver, Washington from 2015 to 2018. Previously, Kopman was … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in GeoStellar, Inc., an Internet-scale solar energy platform based in Martinsburg, West Virginia. GeoStellar, Inc. filed for Chapter 7 bankruptcy in January 2018. The company has … Continue reading
Former RBC Capital Markets, LLC broker Frank Nickey (CRD# 4287405) faces a customer complaint for Puerto Rico Bonds and master limited partnership (MLP) investment losses. Nickey has been registered with Cuso Financial Services, L.P. in Newport News, Virginia since August … Continue reading
In December 2021, FINRA sanctioned Transamerica Financial Advisors $8.8 million over unsuitable sales of mutual funds, variable annuities, and 529 savings plans. The settlement included $4.4 million restitution and a $4.4 million fine to 2,400 affected customers. FINRA found that … Continue reading