Category: Options
Former NPB Financial Group, LLC broker Gary Benson (CRD# 1182211) is accused of GWG Holdings Inc. L Bond losses. He has been registered with Independent Financial Group, LLC in Encino, California, since 2022, as well as with Pash & Benson … Continue reading
Erez Law is currently investigating IFP Securities, LLC broker Andrew Keefer (CRD# 5270359) related to GWG Holdings Inc. investment losses. He has been registered with IFP Securities, LLC in Orlando, Florida, since 2019 and with Independent Financial Partners in Orlando, … Continue reading
Erez Law is currently investigating former Accelerated Capital Group broker Mark Stewart (CRD# 2074085) regarding GWG Holdings Inc. investment losses. He has been registered with M Stevens Securities, LLC in Irvine, California, since 2020 and with M Stevens Wealth Advisors, … Continue reading
Erez Law is currently investigating Westpark Capital, Inc. broker Justin Singletary (CRD# 6325695) regarding GWG Holdings Inc. L Bonds. He has been registered with Westpark Capital, Inc. in Newport Beach, California, from 2017 to 2020. Previously, he was registered with … Continue reading
Erez Law filed three claims against UBS Financial Services Inc. and brokers Christopher Black (CRD# 2186558) and William Huthnance (CRD# 4326519) related to the UBS Financial Services Inc. Yield Enhancement Strategy (YES). Christopher Black was a registered representative of … Continue reading
Erez Law is currently investigating AllianceBernstein LP and Sanford C. Berstein & Co. and its brokers who allegedly recommended their clients invest in its Option Advantage Strategy, a complex options strategy that seeks to provide “incremental return in a low … Continue reading
Erez Law is currently investigating UBS Financial Services Inc. broker Benjamin Walker (CRD# 4980276) related to UBS Yield Enhancement Strategy (YES) losses. He has been registered with UBS Financial Services Inc. in Nashville, Tennessee, since 2008. Public records indicate that … Continue reading
In March 2023, FINRA fined Webull Financial LLC $3 million for not exercising reasonable due diligence related to options trading. Webull Financial LLC consented to the entry of FINRA’s findings, without admitting or denying the charges. It is also alleged … Continue reading
Lifemark Securities Corp. broker Alexander Hackley (CRD# 4899317) was accused of GWG Holdings Inc. L Bonds losses. He has been registered with Lifemark Securities Corp. in Centennial, Colorado, since 2017. Previously, he was registered with three additional firms between 2013 … Continue reading
Were you the victim of former Ni Advisors broker Clark Owen (CRD# 6096730)? He was registered with Cetera Investment Services LLC in Cupertino, California, since 2018, and with Cetera Investment Advisers LLC in Milpitas, California, since 2018. Previously, he was … Continue reading