Category: Alternative Investments Blog
Were you the victim of Arete Wealth Management, LLC broker Logan Cox (CRD# 6927720)? He has been registered with Arete Wealth Management, LLC in Chicago, Illinois, since 2020. He was registered with Park Avenue Securities LLC in Frisco, Texas, from … Continue reading
Ausdal Financial Partners, Inc. broker Max Birkinbine (CRD# 6836583) faces customer complaints. He has been registered with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, since 2017. Max Birkinbine Customer Complaints He has been the subject of two customer complaints … Continue reading
Erez Law is currently investigating former Independent Financial Group, LLC broker Brett Hartvigson (CRD# 2263087) regarding alternative investment losses. He was registered with Independent Financial Group, LLC in San Diego, California, from 2009 to 2023. In February 2024, FINRA barred … Continue reading
In October 2024, a former client of Intervest International Equities Corporation won an award in a FINRA arbitration for compensatory damages for $91,800, 2,540.77 in costs, and $28,061.00 in attorneys’ fees related to the sale of GWG Holdings Inc. L … Continue reading
Erez Law is currently investigating Former Newbridge Securities Corporation broker Peter Goffin (CRD# 1617710) regarding losses due to alternative investments. He was registered with Newbridge Securities Corporation in Boca Raton, Florida, from 2003 to 2023. Peter Goffin Customer Complaints He … Continue reading
Former Moloney Securities Co., Inc. broker Robert Vance (CRD# 1887560) faces customer complaints related to unsuitable investment recommendations. He was registered with Moloney Securities Co., Inc. in Sonora, California, from 2016 to 2023. In May 2023, the United States Securities … Continue reading
There are options for clients of Triad Advisors LLC broker Jason Lavigne (CRD# 4499856), who is accused of alternative investment losses. He has been registered with Triad Advisors LLC in Easton, Pennsylvania, since 2014, and Blue Water Financial LLC in … Continue reading
Were you the victim of Securities America, Inc. broker Alan Hofstein (CRD# 4417550)? He has been registered with Securities America, Inc. in Colorado Springs, Colorado, from 2009 to 2020. Alan Hofstein Customer Complaints He has been the subject of one … Continue reading
Lifemark Securities Corp. broker Richard Pascale (CRD# 3221955) regarding corporate debt losses. He has been registered with Lifemark Securities Corp. in Massapequa Park, New York, since 2005. Richard Pascale Customer Complaints He has been the subject of one customer complaint, … Continue reading
Erez Law is currently investigating Equitable Advisors, LLC broker Karl Fisher (CRD# 2687222) regarding alternative investment losses. He has been registered with Equitable Advisors, LLC in Boulder, Colorado, since 1995. Karl Fisher Customer Complaints He has been the subject of … Continue reading