fbpixel
888-840-1571

National Investment Fraud Lawyers

¿Perdió en bonos y fondos de Puerto Rico?

Mutual Fund Losses with Cambridge Investment Research, Inc. Broker John Grillo

Mutual Fund Losses with Cambridge Investment Research, Inc. Broker John Grillo

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

Erez Law is currently investigating Cambridge Investment Research, Inc. broker 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 two customer complaints between 2018 and 2020. , according to his CRD report: February 2020. “Client alleges… Read More

Read More

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… Read More

Read More

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… Read More

Read More

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… Read More

Read More

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… Read More

Read More

Did You Lose Money with Allegis Investment Services, LLC Financial Advisor Charles Sorensen II?

Posted on Wednesday, May 9th, 2018 at 1:29 pm    

There are options for customers of Allegis Investment Services, LLC financial advisor Charles Sorensen II (CRD# 3255618) regarding mutual funds and options losses. Sorensen has been registered with Allegis Investment Services, LLC in North Logan, Utah since 2014. Previously, Sorensen was registered with Signator Financial Services, Inc. in North Logan, Utah from 2010 to 2014.… Read More

Read More

Raymond James & Associates, Inc. Financial Advisor Logan Phillips Jr. Investment Losses

Posted on Sunday, March 11th, 2018 at 8:44 am    

Were you the victim of Raymond James & Associates, Inc. financial advisor Logan Phillips Jr. (CRD# 1248589), who is alleged to recommend unsuitable variable annuities, mutual funds and penny stocks? Phillips was registered with Raymond James & Associates, Inc. in Jackson, Mississippi from 2013 to 2016. Phillips has been the subject of nine customer complaints… Read More

Read More

LJM Capital Preservation and Growth Fund – LJM Funds Loss Attorney

Posted on Sunday, March 11th, 2018 at 7:59 am    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with LJM Capital Preservation and Growth Fund. If your broker or brokerage firm sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you recover your losses. LJM Partners is… Read More

Read More

Ameriprise Financial Services Inc. Settles with SEC Regarding Overcharging Retirees in Mutual Fund Accounts

Posted on Tuesday, March 6th, 2018 at 2:51 pm    

Erez Law is currently investigating Ameriprise Financial Services Inc. financial advisors across the country who recommended and sold higher-fee mutual fund shares to retirees and failed to provide sales charge waivers. In February 2018, the Securities and Exchange Commission (SEC) settled charges with Ameriprise Financial Services Inc. for recommending and selling higher-fee mutual fund shares… Read More

Read More

Did Cetera Advisor Networks LLC Overcharge You for Mutual Funds?

Posted on Tuesday, September 19th, 2017 at 9:51 am    

Erez Law is currently investigating Cetera Advisor Networks LLC regarding not providing applicable mutual fund sales-charge waivers for select customers, resulting in eligible customers being overcharged by at least $1,666,404 for mutual fund purchases made since July 1, 2009. Cetera Advisor Networks LLC is headquartered in El Segundo, California and has approximately 3,100 registered persons… Read More

Read More