Category: Variable Annuities
Erez Law is currently investigating former Securities America, Inc. and Brecek and Young broker Matthew Baltz (CRD# 2635133) regarding variable annuity losses. Baltz has been registered with Cambridge Investment Research, Inc. in Auburn, California from 2014 to 2017. Previously, Baltz … 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
Were you the victim of former The Leaders Groups, Inc. broker Harold Schwartz (CRD# 841225)? Schwartz has been registered with Stephen A. Kohn & Associates, Ltd. in Jacksonville, Florida since February 2019. Previously, Schwartz was registered with Royal Alliance Associates, … Continue reading
Were you the victim of Ameriprise Financial Services, Inc. broker Joseph Peggs (CRD# 1219721)? Peggs has been registered with Ameriprise Financial Services, Inc. in Seminole, Florida since 2015. Previously, Peggs was registered with Planmember Securities Corporation in Seminole, Florida from … Continue reading
Erez Law is currently investigating MML Investors Services, LLC broker Leon Almeida (CRD# 5645472) regarding variable annuity investment losses. Almeida has been registered with MML Investors Services, LLC in Paramus, New Jersey since 2017. Previously, Almeida was registered with MSI … Continue reading
Former Transamerica Financial Advisors, Inc. broker Pedro L. Gonzalez-Seijo (CRD# 2182912) was barred by FINRA after it was found that he took $583,161.25 from his clients. Gonzalez-Seijo was president and owner of PGS Insurance, Inc. Gonzalez-Seijo was registered with Transamerica … Continue reading
Former Mutual of Omaha Investor Services, Inc. broker Edward Matthes (CRD# 2788055), who was barred by FINRA regarding unsuitable variety annuity investment recommendations, recently pled guilty to wire fraud. Matthes was registered with Mutual of Omaha Investor Services, Inc. in … Continue reading
Were you the victim of barred financial advisor Phillip Johnson (CRD# 501352)? Johnson was registered with D.H. Hill Securities, Lllp in Kingwood, Texas from April 2016 to December 2017 and with Suntrust Investment Services, Inc. in Nashville, Tennessee from 2003 … 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
Erez Law is currently investigating former LPL Financial LLC financial advisor Roger Zullo (CRD# 1882087) regarding the sale of large, illiquid and unsuitable high-commission variable annuities that generated substantial upfront profits. Zullo was registered with LPL Financial LLC in Boston, … Continue reading