Mutual Funds

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 […]

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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 […]

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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 […]

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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 […]

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Cambridge Investment Research, Inc. Financial Advisor John Grillo Investment Losses

Posted on Saturday, January 5th, 2019 at 10:13 am    

Erez Law is currently investigating Cambridge Investment Research, Inc. financial advisor John Grillo (CRD# 2643787) regarding mutual fund losses. Grillo has been registered with Cambridge Investment Research, Inc. in Carrollton, Georgia since 2008. Grillo has been the subject of one customer complaint, according to his CRD report: June 2018. “The claimants allege their investments were […]

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Next Financial Group, Inc. Financial Advisor Charles Doraine Received $2.5 Million Customer Complaint for Mutual Fund Trades

Posted on Wednesday, September 12th, 2018 at 10:43 am    

Erez Law is currently investigating Next Financial Group, Inc. financial advisor Charles Doraine (CRD# 70411) regarding unsuitable mutual fund trades. Doraine has been registered with Next Financial Group, Inc. in Corpus Christi, Texas since 2007. In May 2007, Doraine was suspended for five days and sanctioned to civil and administrative penalties and fines of $5,000 […]

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Have You Suffered LJM Capital Preservation and Growth Fund Losses with IFAM Capital Financial Advisor Daniel Gamache?

Posted on Thursday, September 6th, 2018 at 8:42 am    

IFAM Capital financial advisor Daniel Gamache (CRD# 5538021) is accused of recommending LJM Capital Preservation and Growth Fund. Gamache is currently registered with and a partner at IFAM Capital in Denver, Colorado since January 2014. Gamache was registered with UBS Financial Services Inc. in Denver, Colorado from 2009 to 2014. LJM Partners is an investment […]

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Erez Law Investigates Former National Securities Corporation Financial Advisor James Mariani

Posted on Monday, August 13th, 2018 at 1:34 pm    

Did you lose money investing with former National Securities Corporation financial advisor James Mariani (CRD# 2932631)? Mariani has been registered with Aegis Capital Corp. in Bayside, New York since September 2017. Previously, he was registered with National Securities Corporation in Mineola, New York from 2007 to 2017. In May 2005, NASD suspended and fined Mariani […]

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Woodbury Financial Services, Inc. Ordered to Pay 1.091 Million for Failure to Supervise Former Broker Robert Hoffmann

Posted on Wednesday, July 11th, 2018 at 7:16 am    

In June 2018, FINRA ordered Woodbury Financial Services, Inc. to pay the total sum of $1,091,575.21, which is comprised of $970,107.21 in compensatory damages and $121,468.00 in pre-judgment interest to two clients as a result of the firm’s failure to supervise former broker Robert Hoffmann (CRD# 4008798). The causes of action included breach of fiduciary […]

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How Investors Can Sue Former National Securities Corporation Financial Advisor James Mariani

Posted on Thursday, May 17th, 2018 at 6:23 am    

Did you lose money investing with former National Securities Corporation financial advisor James Mariani (CRD# 2932631)? Mariani has been registered with Aegis Capital Corp. in Bayside, New York since September 2017. Previously, he was registered with National Securities Corporation in Mineola, New York from 2007 to 2017. In May 2005, NASD suspended Mariani violating NASD […]

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