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National Investment Fraud Lawyers

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Investigation of Former Cetera Advisors LLC Broker James McKinney

Investigation of Former Cetera Advisors LLC Broker James McKinney

Posted on Tuesday, September 15th, 2020 at 6:52 pm    

Erez Law is currently investigating former Cetera Advisors LLC broker James McKinney (CRD# 2100850) who suffered investment losses. McKinney was registered with Cetera Advisors LLC in Tulsa, Oklahoma from 2012 to 2019.  In March 2020, FINRA barred McKinney after he was named in a “FINRA complaint alleging that he failed to comply with FINRA requests… Read More

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Former Raymond James & Associates, Inc. Client Wins FINRA Arbitration for $340,00

Posted on Thursday, August 27th, 2020 at 8:03 pm    

In May 2020, a former client of Raymond James & Associates, Inc. won an award in a FINRA arbitration for compensatory damages for $340,000 for losses investment sustained. The investors were clients of broker Paul Steffany (CRD# 1082262).  The causes of action included negligence; failure to supervise; and failure to oversee and manage the account.… Read More

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Investment Loss Options for St. Louis Financial Planners Inc. Broker Thomas Kieffer

Posted on Thursday, August 27th, 2020 at 7:57 pm    

Erez Law is currently investigating St. Louis Financial Planners Inc. broker Thomas Kieffer (CRD# 269086) regarding investment losses due to managed individual stock portfolios. Kieffer has been registered with Ceros Financial Services, Inc. in Chesterfield, Missouri since 2010 and with St. Louis Financial Planners Inc. in Chesterfield, Maryland since 1997. Kieffer has been the subject… Read More

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Peachcap Broker Aaron Brodt Investment Losses

Posted on Wednesday, August 5th, 2020 at 9:00 pm    

Were you the victim of Peachcap broker Aaron Brodt (CRD# 5017914)? Brodt has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previously, he was registered with Accelerated Capital Group in Scottsdale, Arizona from 2012 to 2016.  Brodt has been the subject of four customer complaints between 2016 and 2017, one of which was… Read More

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Lighthouse Capital Group, LLC Broker Rena Morris Investment Loss Options

Posted on Tuesday, July 14th, 2020 at 2:21 pm    

There are options for clients who suffered investment losses due to recommendations by Lighthouse Capital Group, LLC broker Rena Morris (CRD# 4867589). Morris has been registered with Lighthouse Capital Group, LLC in Pasadena, California since 2014.  Morris has been the subject of two customer complaints between 2010 and 2020, according to his CRD report. The… Read More

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Former Capital Financial Services, Inc. Broker Bart Bohrer Investment Loss Options

Posted on Monday, March 9th, 2020 at 9:32 pm    

There are options for customers of former Capital Financial Services, Inc. broker Bart Bohrer (CRD# 4315654) who suffered investment losses. Bohrer has been registered with Calton & Associates, Inc. in Tampa, Florida since August 2019. Previously, Bohrer was registered with Capital Financial Services, Inc. in Minot, North Dakota from 2003 to 2019. Bohrer has been… Read More

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LPL Financial LLC Broker Yvonne Silguero Recovery Loss Options

Posted on Monday, March 9th, 2020 at 9:07 pm    

There are options for clients of LPL Financial LLC broker Yvonne Silguero (CRD# 3211495) who suffered investment losses. Silguero has been registered with LPL Financial LLC in Mcallen, Texas since 2008. In November 2019, a former client of Lone Star National Bank and LPL Financial LLC won an award in a FINRA arbitration for compensatory… Read More

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Investment Losses with Pennsylvania Broker Jingbo Pan?

Posted on Wednesday, January 15th, 2020 at 4:34 pm    

Erez Law is currently investigating Pennsylvania broker Jingbo Pan (CRD# 5266959) regarding investment losses. Pan has been registered with Coastal Equities, Inc. in York, Pennsylvania since May 2019. Previously, Pan was registered with Axiom Capital Management, Inc. in New York, New York from November 2018 to May 2019 and previously with International Assets Advisory, LLC… Read More

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Investigation of Crown Capital Securities, L.P. Broker Hugh Barndollar

Posted on Thursday, January 9th, 2020 at 12:31 pm    

Were you the victim of Crown Capital Securities, L.P. broker Hugh Barndollar (CRD# 3027317)? Barndollar has been registered with Crown Capital Securities, L.P. in Land O’ Lakes, Florida since 2013.  Barndollar has been the subject of three customer complaints between 2010 and 2020, one of which was settled, according to his CRD report. The most… Read More

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Investor Alert: Presidential Brokerage, Inc. Broker Daniel Lempe Private Placement Losses

Posted on Thursday, January 9th, 2020 at 12:16 pm    

Did you lose money investing with Presidential Brokerage, Inc. broker Daniel Lempe (CRD# 1265798)? Lempe has been registered with Presidential Brokerage, Inc. in New Smyrna Beach, Florida since 1991. Lempe has been the subject of three customer complaints between 1995 and 2019, according to his CRD report. Recent complaints are regarding: September 2019. “The complaint… Read More

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