Erez Law is interested in speaking with investors who may have suffered losses due to investments with Crown Capital Securities, L.P. broker Lanny Howarter (CRD# 813591). Howarter has been registered with Crown Capital Securities, L.P. in San Diego, California since … 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 interested in speaking with investors who may have suffered losses due to investments with MML Investors Services, LLC LLC broker Michael Nigro (CRD# 2097646). Nigro has been registered with MML Investors Services, LLC in New York, New … Continue reading
Former Presidential Brokerage, Inc. broker Cory Davern (CRD# 2945772) faces a customer complaint for investment losses. Davern has been registered with Valic Financial Advisors, Inc. in Lakewood, Colorado since January 2020. Previously, Axa Distributors, LLC in Jersey City, New Jersey … Continue reading
Have you suffered investment losses due to recommendations by former National Securities Corporation broker Joseph Alhadeff (CRD# 2938087)? Alhadeff has been registered National Securities Corporation in New York, New York from 2012 to 2018. In November 2020, FINRA barred Alhadeff … Continue reading
Erez Law is currently investigating David Lerner Associates, Inc. broker Glenn Werner (CRD# 6118112) regarding Energy 11 investment losses. Werner has been registered with David Lerner Associates, Inc. in Syosset, New York since 2013. Energy 11, LP is a public … Continue reading
Were you the victim of Ameriprise Financial Services, Inc. broker Angel Bardeche (CRD# 4698117)? Bardeche has been registered with Ameriprise Financial Services, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The registered representative was terminated … 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
In December 2020, the Securities and Exchange Commission (SEC) sanctioned Pruco Securities to pay $18 million in disgorgement, interest and penalties, as well as a censure and cease-and-desist for breach of fiduciary duty related to wrap fee programs. The penalty … Continue reading
In December 2020, the Securities and Exchange Commission (SEC) settled charges with Voya Financial Advisors, Inc. regarding the firm’s “disclosure failures and misleading statements to clients regarding investment advice it gave about mutual funds, illiquid alternative investments and cash sweep … Continue reading