Category: Mutual Funds Articles
Kestra Investment Services, LLC broker Jerry Korchak (CRD# 1990284) faces one pending customer complaint for losses in a retirement account. Korchak has been registered with Kestra Investment Services, LLC in Rockford, Illinois since 2004. Korchak has been the subject of … Continue reading
Were you the victim of Triad Advisors LLC broker Mark Robare (CRD# 1057899)? Robare has been registered with Triad Advisors LLC in Houston, Texas since 2003. In September 2014, the Securities and Exchange Commission (SEC) sanctioned Robare to a $50,000 … Continue reading
Arbitrage Funds suffered significant declines when the market crashed due to the COVID-19 pandemic (the coronavirus of the winter and spring of 2020) and have now temporarily shut down. Some Arbitrage Funds were forced to temporarily close due to the … Continue reading
Erez Law is currently investigating former MML Investors Services, LLC broker Charles Evan (CRD# 836083) regarding investment losses. Evan was registered with MML Investors Services, LLC in Wellesley, Massachusetts from 2017 to 2019, when he was terminated regarding, “Terminated in … Continue reading
In February 2019, FINRA fined Kestra Investment Services, LLC and required the firm to pay $1,947,704 in restitution for overcharging Eligible Customers for mutual fund purchases, as well as a fine of $225,000 and remediation to Eligible Customers who did … Continue reading
Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Patrick Rynn (CRD# 5515919) regarding mutual fund losses. Rynn has been registered with MML Investors Services, LLC in Latham, New York since March 2017 and previously with MSI … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker John Grillo (CRD# 2643787) regarding mutual fund losses. Grillo has been registered with Cambridge Investment Research, Inc. in Carrollton, Georgia since 2008. Grillo has been the subject of two customer … Continue reading
IFAM Capital financial advisor Daniel Gamache (CRD# 5538021) is accused of recommending LJM Capital Preservation and Growth Fund. Gamache is currently registered with and a partner at IFAM Capital in Denver, Colorado since January 2014. Gamache was registered with UBS … Continue reading
There are options for customers of Allegis Investment Services, LLC financial advisor Charles Sorensen II (CRD# 3255618) regarding mutual funds and options losses. Sorensen has been registered with Allegis Investment Services, LLC in North Logan, Utah since 2014. Previously, Sorensen … Continue reading
Were you the victim of Raymond James & Associates, Inc. financial advisor Logan Phillips Jr. (CRD# 1248589), who is alleged to recommend unsuitable variable annuities, mutual funds and penny stocks? Phillips was registered with Raymond James & Associates, Inc. in … Continue reading