Conflict of Interest

SEC Fines PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. $15 Million for Breaching Fiduciary Duties and Failing to Disclose Conflicts of Interests

Posted on Wednesday, May 2nd, 2018 at 8:20 pm    

Erez Law is currently investigating PNC Investments LLC (PNCI), Securities America Advisors Inc. (SAA), and Geneos Wealth Management Inc. (Geneos) financial advisors across the country regarding investment losses. In April 2018, the Securities and Exchange Commission (SEC) charged PNCI, SAA, and Geneos with breaching fiduciary duties to clients and generating millions of dollars of improper […]

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Have you Suffered Losses Due to Investments with Noble Capital Markets, Inc. Financial Advisor Nicolaas Pronk?

Posted on Monday, July 17th, 2017 at 5:23 pm    

Erez Law is currently investigating Noble Capital Markets, Inc. financial advisor Nicolaas Pronk (CRD# 1726101) regarding conflicts of interests in regards to investment recommendations. Pronk has been registered with and president of Noble Capital Markets, Inc. in Boca Raton, Florida since 1988. In November 2016, Pronk was named a respondent in a FINRA complaint alleging […]

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