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National Investment Fraud Lawyers

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LJM Funds Investment Losses with J.W. Cole Financial, Inc. Brokers

LJM Funds Investment Losses with J.W. Cole Financial, Inc. Brokers

Posted on Monday, April 19th, 2021 at 7:17 pm    

Did your J.W. Cole Financial, Inc. broker recommend you invest in LJM funds? If your J.W. Cole Financial, Inc. broker sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you recover your losses. In March 2021, FINRA censured and fined J.W. Cole Financial, Inc. to… Read More

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Cambridge Investment Research, Inc. Sanctioned by FINRA for LJM Preservation & Growth Fund Losses

Posted on Monday, April 19th, 2021 at 7:07 pm    

In March 2021, FINRA sanctioned Cambridge Investment Research, Inc. and sanctioned the firm to pay a $400,000 fine, as well as $3,134,354.82 in restitution plus interest. FINRA also required the firm to issue a certification signed by an officer and registered principal of the firm that, as of the date of the certification, Cambridge Investment… Read More

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Were You the Victim of Merrill Lynch Broker Kenneth Pesavento?

Posted on Monday, April 19th, 2021 at 7:04 pm    

Erez Law is currently investigating Merrill Lynch broker Kenneth Pesavento (CRD# 360864) regarding mutual fund investment losses. Pesavento has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oak Brook, Illinois since 1978.  Pesavento has been the subject of one customer complaint in 2021, according to his CRD report: January 2021. “The deceased… Read More

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Investment Loss Options with Raymond James Financial Services, Inc. Broker Steven Lyons

Posted on Monday, April 19th, 2021 at 7:02 pm    

Erez Law is currently investigating Raymond James Financial Services, Inc. broker Steven Lyons (CRD# 5343894) regarding mutual fund losses. Lyons has been registered with Raymond James Financial Services, Inc. in Newton, New Jersey since 2008.  Lyons has been the subject of one customer complaint in 202, according to his CRD report: November 2020. “Client alleges… Read More

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Mutual Fund Losses with Former UBS Financial Services Inc. Broker Ricardo Armijo

Posted on Monday, March 15th, 2021 at 10:29 pm    

Did you lose money investing with former UBS Financial Services Inc. broker Ricardo Armijo (CRD# 2694904)? Armijo has been registered with Raymond James & Associates, Inc. in Birmingham, Michigan since 2019. Previously, Armijo was registered with UBS Financial Services Inc. in Birmingham, Michigan from 2009 to 2019. Armijo has been the subject of three customer… Read More

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Options for Clients of Merrill Lynch Broker Thomas Moore

Posted on Monday, March 15th, 2021 at 10:20 pm    

Were you the victim of Merrill Lynch broker Thomas Moore (CRD# 2526192)? Moore has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York since 2006.  Moore has been the subject of five customer complaints between 2003 and 2020, one of which was denied, according to his CRD report. The… Read More

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Former RBC Capital Markets Client Wins FINRA Arbitration for $175,000 for Pioneer Municipal Bond Fund Losses

Posted on Monday, March 8th, 2021 at 7:19 pm    

In February 2020, a former client of RBC Capital Markets won an award in a FINRA arbitration for compensatory damages for $175,000 for investment losses. The investors were clients of broker Brian Wurdemann (CRD# 4206425).  The causes of action included breach of contract, breach of fiduciary duty, lack of supervision, fraudulent practices, negligent and intentional… Read More

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Triad Advisors to Pay $194,000 Settlement for Failure to Supervise Mutual Fund Transactions

Posted on Monday, March 8th, 2021 at 7:05 pm    

In February 2021, Financial Industry Regulatory Authority (FINRA) ordered Triad Advisors to pay a $150,000 fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges, as well as not making timely disclosures involving customer complaints and arbitration. Triad Advisors also agreed to repay affected clients nearly… Read More

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How to Bring a Claim Against MML Investors Services, LLC Broker Michael Nigro

Posted on Tuesday, February 16th, 2021 at 6:18 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with MML Investors Services, LLC LLC broker Michael Nigro (CRD# 2097646). Nigro has been registered with MML Investors Services, LLC in New York, New York since 1998.  Nigro has been the subject of five customer complaints between 2002 and… Read More

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Investment Loss Options for Clients of Ameriprise Financial Services, Inc. Broker Angel Bardeche

Posted on Tuesday, February 16th, 2021 at 5:33 pm    

Were you the victim of Ameriprise Financial Services, Inc. broker Angel Bardeche (CRD# 4698117)? Bardeche has been registered with Ameriprise Financial Services, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The registered representative was terminated for company policy violations related to failing to obtain authorization from clients prior to placing… Read More

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