Business Development Companies
Erez Law Files Claim Against Presidential Brokerage, Inc. and Broker Gregory Williams
Posted on Friday, March 27th, 2020 at 1:14 pm
In March 2020, Erez Law filed a FINRA arbitration against Presidential Brokerage, Inc. The customers were clients of Gregory Williams (CRD# 1561089), who has been a registered representative of Forta Financial Group (also known as Presidential Brokerage, Inc.) in Greenwood Village, Colorado since 2011. The clients allege the following in the newly filed FINRA claim: […]
Erez Law Files Claim for REIT Losses Against Axa Advisors, LLC
Posted on Monday, October 21st, 2019 at 2:11 pm
Erez Law recently filed a FINRA arbitration against Axa Advisors, LLC for unsuitable real estate investment trust (REIT) losses amongst other things. The Erez Law client alleges that Gloria Barbier (CRD #5719709) and Kevin Dooley (CRD #2513153) mismanaged her investments. Barbier has been registered with Axa Advisors, LLC in Miami, Florida since 2009. Dooley has […]
Purshe Kaplan Sterling Investments Settles Claim for $9.5 Million for Alternative Products Losses with Michigan Native American Tribe
Posted on Tuesday, July 9th, 2019 at 2:49 pm
Purshe Kaplan Sterling Investments settled a claim for $9.5 million related to the sale of alternative investments to a Native American tribe, Saginaw Chippewa Indian Tribe of Michigan, by former Purshe Kaplan Sterling Investments broker Gopi Vungarala (CRD# 4856193). It is alleged that Vungarala engaged in excessive trading of non-traded Real Estate Investment Trusts (REITs) […]
Did Former Investors Capital Financial Advisor Robert Ginsberg Recommend You Unsuitable REITs?
Posted on Tuesday, April 9th, 2019 at 12:32 pm
Financial advisor Robert Ginsberg (CRD# 5177531) is accused of recommending unsuitable real estate investment trusts (REITs). Ginsberg has been registered with Woodbury Financial Services, Inc. in Wallingford, Connecticut since September 2016. Previously, he was registered with Investors Capital Corp. in Wallingford, Connecticut from 2008 to 2016. According to public information, a former client of Ginsberg […]
How to Bring a Claim Against D.H. Hill Securities, LLLP Financial Advisor Charles Stevens
Posted on Tuesday, July 24th, 2018 at 1:54 pm
There are options for customers of D.H. Hill Securities, LLLP broker Charles Stevens (CRD# 1698058) who suffered investment losses. Stevens was registered with D.H. Hill Securities, LLLP in St. Augustine, Florida from 2006 to February 2020 Stevens has been the subject of five customer complaints between 2003 and 2018, according to his CRD report. The […]
Did You Suffer Losses from LPL Financial LLC Regarding REIT and BDC Investments?
Posted on Wednesday, November 8th, 2017 at 3:50 pm
Erez Law is currently investigating LPL Financial LLC financial advisors across the country regarding excessive amounts of alternative investments in client portfolios. In October 2017, the State of New Jersey, Bureau of Securities fined LPL Financial LLC $950,000 and ordered the firm to pay $25,000 to a state investor education fund over REIT and BDC […]
Did you Lose money with Purshe Kaplan Sterling Investments Financial Advisor Gopi Krishna Vungarala?
Posted on Monday, March 27th, 2017 at 1:36 pm
Erez Law is currently investigating Purshe Kaplan Sterling Investments financial advisor Gopi Krishna Vungarala regarding excessive sales charges on the purchase of non-traded Real Estate Investment Trusts (REITs) and Business Development Companies (BDCs). Vungarala was registered with Purshe Kaplan Sterling Investments in Midland, Michigan from 2007 to 2017 before he was terminated by the firm […]