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Investment Loss Options for Clients of Cambridge Investment Research, Inc. Broker Curtis Harris

Posted on Monday, March 22nd, 2021 at 5:33 pm    

Were you the victim of Cambridge Investment Research, Inc. broker Curtis Harris (CRD# 2628896)? Harris has been registered with Cambridge Investment Research, Inc. in Dallas, Texas since 2008.  Previously, Harris was registered with HFG Advisors, L.L.C. in Dallas, Texas and MML Investors Services, Inc. in Dallas, Texas from 1996 to 2008, when he was terminated… Read More

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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt Accused of Selling Away

Posted on Monday, March 22nd, 2021 at 5:17 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Atlanta, Georgia from 2016 to 2020, when he was terminated regarding, “Conduct… Read More

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Former Berthel, Fisher & Company Financial Services, Inc. Broker Dennis Fearing Investment Loss Options

Posted on Monday, March 22nd, 2021 at 4:22 pm    

There are options for clients of former Berthel, Fisher & Company Financial Services, Inc. broker Dennis Fearing (CRD# 1288339) who suffered investment losses. Fearing was registered with Berthel, Fisher & Company Financial Services, Inc. in Coleraine, Minnesota from 2011 to 2021. Fearing has been the subject of two customer complaints between 2004 and 2020, one… Read More

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UBS Financial Services Inc. Client Wins FINRA Arbitration for YES Investment Losses

Posted on Tuesday, March 16th, 2021 at 5:32 pm    

In March 2021, clients of UBS Financial Services Inc. won an award in a FINRA arbitration for $1,044,242 in compensatory damages, plus 4% per annum interest until paid in full and a $600 non-refundable portion of the filing fee, for Yield Enhancement Strategy (YES) investment losses. Unfortunately for many investors, UBS’ YES program was represented… Read More

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Mutual Fund Losses with Former UBS Financial Services Inc. Broker Ricardo Armijo

Posted on Monday, March 15th, 2021 at 10:29 pm    

Did you lose money investing with former UBS Financial Services Inc. broker Ricardo Armijo (CRD# 2694904)? Armijo has been registered with Raymond James & Associates, Inc. in Birmingham, Michigan since 2019. Previously, Armijo was registered with UBS Financial Services Inc. in Birmingham, Michigan from 2009 to 2019. Armijo has been the subject of three customer… Read More

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VALIC Financial Advisors to Pay $1.75 Million for Variable Annuity Swaps

Posted on Monday, March 15th, 2021 at 10:26 pm    

In January 2021, FINRA fined VALIC Financial Advisors $1.75 million regarding variable annuity exchanges. According to FINRA’s Letter of Acceptance Waiver, and Consent (AWC), from October 2011 through December 2014, VALIC Financial Advisors failed to establish, maintain and enforce a system reasonably designed to supervise the sale of variable annuity contracts. Variable annuity swaps can… Read More

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Unsuitable Investments Options Due to Recommendations by Morgan Stanley Broker Martin Speyer

Posted on Monday, March 15th, 2021 at 10:22 pm    

Erez Law is currently investigating Morgan Stanley broker Martin Speyer (CRD# 432002) regarding unsuitable investment options. Speyer has been registered with Morgan Stanley in Beverly Hills, California since 2009.  Speyer has been the subject of nine customer complaints between 1989 and 2019, one of which was denied and one was closed without action, according to… Read More

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Options for Clients of Merrill Lynch Broker Thomas Moore

Posted on Monday, March 15th, 2021 at 10:20 pm    

Were you the victim of Merrill Lynch broker Thomas Moore (CRD# 2526192)? Moore has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York since 2006.  Moore has been the subject of five customer complaints between 2003 and 2020, one of which was denied, according to his CRD report. The… Read More

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Options for Clients of LPL Financial LLC Broker Rhett Bedwell

Posted on Monday, March 15th, 2021 at 10:16 pm    

Were you the victim of former LPL Financial LLC broker Rhett Bedwell (CRD# 5664392), who is alleged to recommend his clients invest in what was found to be a Ponzi-like scheme?  Bedwell was registered with LPL Financial LLC in Rogers, Arizona from 2017 to 2019. Previously, Bedwell was registered with Arvest Wealth Management in Bentonville,… Read More

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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Rowad Alame Accused of Selling Away

Posted on Monday, March 15th, 2021 at 10:14 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Rowad Alame (CRD# 5376696) regarding selling away. Alame was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Raleigh, North Carolina from 2016 to 2019, when he was terminated regarding, “Conduct involving completing an account-related document, signed by clients, in… Read More

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