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National Investment Fraud Lawyers

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Did You Lose Money Investing in Tembion Capital Management, LLC Broker Mark Jensen?

Did You Lose Money Investing in Tembion Capital Management, LLC Broker Mark Jensen?

Posted on Thursday, August 27th, 2020 at 8:06 pm    

There are options for clients of Tembion Capital Management, LLC broker Mark Jensen (CRD# 2748816) who suffered investment losses in LJM Capital Preservation and Growth Fund. Jensen has been registered with Tembion Capital Management, LLC in Sante Fe, New Mexico since 2012. LJM Partners is an investment management firm that operates the mutual fund LJM… Read More

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Options for Victims of Kestra Investment Services, LLC Broker Stephen Curry

Posted on Tuesday, August 11th, 2020 at 10:24 pm    

Were you the victim of Kestra Investment Services, LLC broker Stephen Curry (CRD# 5207046)? Curry has been registered with Kestra Investment Services, LLC in Lake Forest, Illinois since 2007.  Curry has been the subject of one customer complaint, according to his CRD report: May 2020. “Client alleged breaches of fiduciary duty and related claims associated… Read More

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Options for Clients of Kestra Investment Services, LLC Broker Jerry Korchak

Posted on Tuesday, August 11th, 2020 at 10:11 pm    

Kestra Investment Services, LLC broker Jerry Korchak (CRD# 1990284) faces one pending customer complaint for losses in a retirement account. Korchak has been registered with Kestra Investment Services, LLC in Rockford, Illinois since 2004.  Korchak has been the subject of one customer complaint, according to his CRD report: May 2020. “Client alleged breaches of fiduciary… Read More

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Independent Financial Group, LLC Broker James Flanagan Investment Loss Options

Posted on Wednesday, July 8th, 2020 at 3:14 pm    

There are options for clients who suffered investment losses due to recommendations by Independent Financial Group, LLC broker James Flanagan (CRD# 1812317). Flanagan has been registered with Independent Financial Group, LLC in Downers Grove, Illinois since 2010.  Flanagan has been the subject of two customer complaints between 2009 and 2020, according to his CRD report.… Read More

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Options for Clients Who Suffered Losses Due to Investments with Triad Advisors LLC Broker Mark Robare

Posted on Tuesday, May 19th, 2020 at 9:00 pm    

Were you the victim of Triad Advisors LLC broker Mark Robare (CRD# 1057899)? Robare has been registered with Triad Advisors LLC in Houston, Texas since 2003. In September 2014, the Securities and Exchange Commission (SEC) sanctioned Robare to a $50,000 civil and administrative penalty and fine and cease-and-desist proceedings were brought against Robare regarding, “This… Read More

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Arbitrage Funds Investment Loss Options in Wake of COVID-19 Pandemic

Posted on Thursday, May 14th, 2020 at 1:09 pm    

Arbitrage Funds suffered significant declines when the market crashed due to the COVID-19 pandemic (the coronavirus of the winter and spring of 2020) and have now temporarily shut down. Some Arbitrage Funds were forced to temporarily close due to the pandemic, including Tata Mutual Fund, ICICI Prudential Mutual Fund, Equity Savings, and Balanced Advantage. In… Read More

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Investment Losses with Former MML Investors Services, LLC Broker Charles Evan?

Posted on Monday, February 24th, 2020 at 8:46 pm    

Erez Law is currently investigating former MML Investors Services, LLC broker Charles Evan (CRD# 836083) regarding investment losses. Evan was registered with MML Investors Services, LLC in Wellesley, Massachusetts from 2017 to 2019, when he was terminated regarding, “Terminated in connection with allegations concerning inappropriate traditional insurance sales practices.” Previously, Evan was registered with MSI… Read More

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Erez Law Files Claim for LJM Fund Losses by Former IFAM Capital Broker Alan Beugg

Posted on Wednesday, January 29th, 2020 at 9:44 pm    

Erez Law recently filed a FINRA arbitration against Purshe Kaplan and Institutional and Family Asset Management, LLC (IFAM Capital) for LJM Preservation and Growth Fund (LJM Fund) investment losses due to investments with broker Alan Beugg (CRD #3004268). Beugg has been registered with Purshe Kaplan Sterling Investments in Denver, Colorado since 2014. Beugg was dually… Read More

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Kestra Investment Services, LLC to Repay $2.2 Million for Overcharging Customers for Mutual Fund Purchases

Posted on Friday, March 1st, 2019 at 11:17 am    

In February 2019, FINRA fined Kestra Investment Services, LLC and required the firm to pay $1,947,704 in restitution for overcharging Eligible Customers for mutual fund purchases, as well as a fine of $225,000 and remediation to Eligible Customers who did not receive, the applicable mutual fund sales charge waiver. FINRA found that Kestra disadvantaged certain… Read More

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Mutual Fund Losses with Former MSI Financial Services, Inc. Financial Advisor Patrick Rynn

Posted on Wednesday, January 9th, 2019 at 7:36 pm    

Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Patrick Rynn (CRD# 5515919) regarding mutual fund losses. Rynn has been registered with MML Investors Services, LLC in Latham, New York since March 2017 and previously with MSI Financial Services, Inc. in Latham, New York from 2010 to 2017. Rynn has been the… Read More

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