Category: Mutual Funds Articles

Erez Law is currently investigating Fidelity Distributors Company LLC broker Kerry Pope (CRD# 3139298) regarding mutual fund losses. He was registered with Fidelity Distributors Company LLC in Merrimack, New Hampshire, from 2016 to 2024, and with Pyramis Distributors Corporation LLC … Continue reading →

Capitol Securities Management, Inc. and BNB Wealth Management, LLC broker Andrew Bellamah (CRD# 2171352) is accused of mutual fund losses. He has been registered with Capitol Securities Management, Inc. in Silver Spring, Maryland, since 2011, and BNB Wealth Management, LLC … Continue reading →

Truist Investment Services, Inc. broker Luke Alger (CRD# 5387062) is accused of mutual fund losses. He has been registered with Truist Investment Services, Inc. in Brentwood, Tennessee, since 2014, and Truist Advisory Services, Inc. in Brentwood, Tennessee, since 2016. He … Continue reading →

There are options for clients of Northwestern Mutual Investment Services, LLC broker Phillip Pickett (CRD# 4739154), who is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Birmingham, Alabama, since 2004. Phillip Pickett … Continue reading →

Were you the victim of UBS Financial Services Inc. broker John Sofranko III (CRD# 4658914)? He has been registered with UBS Financial Services Inc. in Sewickley, Pennsylvania, since 2005.  John Sofranko III Customer Complaints He has been the subject of … Continue reading →

Erez Law is currently investigating NYLife Securities LLC broker Michael Nichols (CRD# 4699651) regarding fixed annuity losses. He has been registered with NYLife Securities LLC in Waltham, Massachusetts, since 2015, and with Eagle Strategies LLC in Waltham, Massachusetts, since 2021. … Continue reading →

Northwestern Mutual Investment Services, LLC broker Kevin Regan (CRD# 4726798) is accused of mutual fund losses. He has been registered with Northwestern Mutual Investment Services, LLC in Ft Lauderdale, Florida, since 2004. Kevin Regan Customer Complaints He has been the … Continue reading →

Former David Lerner Associates, Inc. broker Craig Nomberg (CRD# 4293515) is accused of mutual fund losses. He has been registered with Wells Fargo Clearing Services, LLC in Boca Raton, Florida, since 2019. He was registered with David Lerner Associates, Inc. … Continue reading →

Erez Law is investigating former U.S. Bancorp Investments, Inc. broker Tyson Allred (CRD# 3081010) regarding investment losses. He has been registered with LPL Financial LLC in Portland, Oregon, since 2023. He was registered with U.S. Bancorp Investments, Inc. in Portland, … Continue reading →

Charles Schwab & Co., Inc. broker Kevin Bailey (CRD# 1490570) faces mutual fund investment losses. He has been registered with Charles Schwab & Co., Inc., since 2014. Previously, he was registered with Schwab Wealth Advisory, Inc. in Phoenix, Arizona, from … Continue reading →