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Did You Lose Money Investing in GPB Capital Holdings with Geneos Wealth Management?

Did You Lose Money Investing in GPB Capital Holdings with Geneos Wealth Management?

Posted on Monday, April 12th, 2021 at 6:49 pm    

Did your Geneos Wealth Management broker recommend you invest in GPB Capital Holdings, and you suffered investment losses as a result? GPB Capital Holdings is now alleged to be a $1.8 billion Ponzi scheme that was unsuitably recommended to more than 17,000 investors across the country at more than 60 brokerage firms, including Geneos Wealth… Read More

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GPB Capital Holdings Investment Losses with McNally Financial Services Corporation Broker Daniel Poland

Posted on Monday, April 12th, 2021 at 6:41 pm    

Erez Law is currently investigating McNally Financial Services Corporation broker Daniel Poland (CRD# 1230652) regarding GPB Capital Holdings investment losses. GPB Capital Holdings is now alleged to be a $1.8 billion Ponzi scheme that was unsuitably recommended to more than 17,000 investors across the country at more than 60 brokerage firms. GPB Capital Holdings is… Read More

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CNL Lifestyle Properties Investment Loss Options with Your MML Investors Services, LLC Broker

Posted on Monday, April 12th, 2021 at 6:37 pm    

Did your MML Investors Services, LLC broker recommend you invest in CNL Lifestyle Properties? If your broker made unsuitable investment recommendations in private non-traded real estate investment trusts (REITs) and caused you to suffer investment losses, Erez Law can help.  According to public records, a former client of MML Investors Services, LLC filed a FINRA… Read More

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Purshe Kaplan Reaches $1.6 Million Settlement with SEC

Posted on Monday, April 12th, 2021 at 6:25 pm    

In March 2021, Albany, New York-based Purshe Kaplan reached a $1.6 million settlement with 50 clients, without citing a cause, according to the company’s annual audited Focus report filed with the Securities and Exchange Commission (SEC). As part of the settlement, Wentworth Management Services (the firm’s owner) is paying $1.2 million, and its insurer is… Read More

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Royal Alliance Associates, Inc. Broker Les Barber Jr. Investment Loss Options

Posted on Monday, April 12th, 2021 at 6:21 pm    

There are options for clients of Royal Alliance Associates, Inc. broker Les Barber Jr. (CRD# 1256348) who suffered investment losses. Barber has been registered with Royal Alliance Associates, Inc. in South Jordan, Utah since 2013.  Barber has been the subject of three customer complaints between 2015 and 2020, one of which was denied, according to… Read More

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Did You Lose Money Investing with Former Sagepoint Financial, Inc. Broker Daniel Dillard?

Posted on Tuesday, April 6th, 2021 at 1:11 am    

Erez Law is currently investigating former Sagepoint Financial, Inc. broker Daniel Dillard (CRD# 4289333) regarding unsuitable investment recommendations. Dillard has been registered with Union Capital Company in Austin, Texas from April to July 2019. Previously, Dillard was registered with Sagepoint Financial, Inc. in Austin, Texas from 2013 to 2019 and with LPL Financial LLC in… Read More

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Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt Accused of Selling Away

Posted on Monday, March 22nd, 2021 at 5:17 pm    

Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Atlanta, Georgia from 2016 to 2020, when he was terminated regarding, “Conduct… Read More

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Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC Fined $1 Million for Supervisory Failures

Posted on Monday, February 22nd, 2021 at 7:33 pm    

In December 2020, FINRA fined Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC $1 million, which included a $750,000 fine for Cetera Advisor Networks LLC, a $150,000 fine for Cetera Advisors LLC, and a $100,000 fine for Cetera Financial Specialists LLC. According to the Letter of Acceptance, Waiver & Consent, between… Read More

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Former Arete Wealth Management, LLC Client Wins FINRA Arbitration for $515,000 for GPB Capital Holdings Investment Losses

Posted on Tuesday, February 16th, 2021 at 8:43 pm    

In January 2021, a former client of Arete Wealth Management, LLC won an award in a FINRA arbitration for compensatory damages for $515,000 for losses sustained from GPB Capital Holdings investment losses. This is the first case in which a broker-dealer that sold GPB Capital Holdings lost an arbitration case.  The awarded included $186,639.29 in… Read More

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North Carolina Broker Gary Hammond Barred By FINRA For Selling Away

Posted on Monday, February 8th, 2021 at 8:56 pm    

Erez Law is currently investigating broker Gary Hammond (CRD# 2660432) regarding private securities investment losses. Hammond was registered with Hornor, Townsend & Kent, Inc. in Charlotte, North Carolina from August to December 2017. Previously, Hammond was registered with MML Investors Services, LLC in Charlotte, North Carolina from March to May 2017, when he was terminated… Read More

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