In December 2020, FINRA fined Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC $1 million, which included a $750,000 fine for Cetera Advisor Networks LLC, a $150,000 fine for Cetera Advisors LLC, and a $100,000 fine … Continue reading
In January 2021, a former client of Arete Wealth Management, LLC won an award in a FINRA arbitration for compensatory damages for $515,000 for losses sustained from GPB Capital Holdings investment losses. This is the first case in which a … Continue reading
Erez Law is currently investigating broker Gary Hammond (CRD# 2660432) regarding private securities investment losses. Hammond was registered with Hornor, Townsend & Kent, Inc. in Charlotte, North Carolina from August to December 2017. Previously, Hammond was registered with MML Investors … Continue reading
There are options for clients of former Triad Advisors LLC broker Michael Payne (CRD# 2289904) who suffered investment losses. Payne has been registered with Proequities, Inc. in Longwood, Florida since April 2018. Previously, Payne was registered with Barr Financial Services, … Continue reading
Were you the victim of former TD Ameritrade, Inc. broker Kwasi Aggor (CRD# 4974222)? Aggor was registered with TD Ameritrade, Inc. in Providence, Rhode Island from 2008 to 2018. In April 2020, FINRA barred Aggor after he, “consented to the … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker Dennis Cirbo (CRD# 733633), who is accused of recommending unsuitable GPB Capital Holdings investments? Cirbo has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado since 2011. GPB Capital … Continue reading
Cetera Advisor Networks LLC broker Jonathan Bever (CRD# 2603856) is accused of private placement investment losses. Bever has been registered with Cetera Advisor Networks LLC in Bellevue, Washington as well as Fulcrum Wealth Advisors, LLC in Bellevue, Washington since 2017. … Continue reading
Erez Law is currently investigating National Securities Corporation broker Vincent Villani (CRD# 4296670) regarding private placement investment losses. Villani has been registered with National Securities Corporation in New York, New York since 2014. Villani has been the subject of one … Continue reading
Erez Law is currently investigating former Madison Avenue Securities, LLC broker Robert Luley Jr. (CRD# 4176139), who is alleged to recommend unsuitable GPB Capital Holdings investments. Robert Luley Jr. was registered with Pruco Securities, LLC in Charlotte, North Carolina from … Continue reading
Did you lose money investing with former Paulson Investment Company LLC broker Jospeh Hain (CRD# 4959092)? Hain has been registered with Noble Capital Markets, Inc. in Boca Raton, Florida since 2017. Previously, Hain was registered with Paulson Investment Company LLC … Continue reading