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

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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Did You Lose Money Investing with Former Presidential Brokerage, Inc. Broker Cory Davern?

Posted on Tuesday, February 16th, 2021 at 6:14 pm    

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 from 2018 to 2020 and previously with Presidential Brokerage, Inc. in Greenwood Village, Colorado from… Read More

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Investment Loss Options for Clients of Former LPL Financial LLC Broker Kevin Houser

Posted on Tuesday, February 16th, 2021 at 5:43 pm    

Were you the victim of former LPL Financial LLC broker Kevin Houser (CRD# 2513167)? Houser has been registered with Ameriprise Financial Services, LLC in Center Valley, Pennsylvania since 2016.  Houser has been the subject of four customer complaints between 2016 and 2020, according to his CRD report: November 2020. “Claimant alleges that he invested in… Read More

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Former LPL Financial LLC Broker Joe Franklin Investment Loss Options

Posted on Monday, February 1st, 2021 at 8:44 pm    

Erez Law is currently investigating former LPL Financial LLC broker Joe Franklin (CRD# 2673133) regarding investment losses. Franklin was registered with LPL Financial LLC in Hixson, Tennessee from 2010 to April 2020. Franklin has been the subject of three customer complaints between 2007 and 2020, two of which were denied, according to his CRD report:… Read More

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Franklin Square KKR Capital Corp II Investment Loss Options

Posted on Monday, October 5th, 2020 at 5:10 pm    

Erez Law is currently investigating brokers across the country who recommended their clients invest in Franklin Square (Franklin Square KKR Capital Corp. II). It is alleged that brokers at brokerage firms across the country unsuitably recommended their clients invest in Franklin Square KKR Capital Corp. II without fully disclosing the risks of this business development… Read More

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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:… Read More

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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… Read More

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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)… Read More

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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… Read More

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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… Read More

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