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FINRA Fined First Clearing, LLC $300,000 For Non-compliant Valuation Information Related to Investments in DPPs and REITs

FINRA Fined First Clearing, LLC $300,000 For Non-compliant Valuation Information Related to Investments in DPPs and REITs

Posted on Monday, February 1st, 2021 at 9:11 pm    

In November 2020, FINRA censured and fined First Clearing, LLC $300,000 regarding non-compliant valuation information sent to more than 2,390 customers regarding their investments in Direct Participation Programs (DPPs) or Real Estate Investment Trusts (REITs). FINRA alleged that First Clearing failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to… Read More

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Former Triad Advisors LLC Broker Michael Payne GPB Capital Holdings Investment Losses

Posted on Tuesday, January 26th, 2021 at 7:16 pm    

There are options for clients of former Triad Advisors LLC broker Michael Payne (CRD# 2289904) who suffered investment losses. Payne has been registered with Proequities, Inc. in Longwood, Florida since April 2018. Previously, Payne was registered with Barr Financial Services, LLC in Winter Park, Florida and with Triad Advisors LLC in Winter Park, Florida from… Read More

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Options for Clients of FSC Securities Corporation Broker Frank Briseno III

Posted on Wednesday, January 6th, 2021 at 12:55 am    

There are options for clients of FSC Securities Corporation broker Frank Briseno III (CRD# 1177246) who suffered investment losses. Briseno has been registered with FSC Securities Corporation in Metairie, Louisiana since 2004. Briseno has been the subject of three customer complaints between 2017 and 2020, one of which was denied, according to his CRD report:… Read More

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First Allied Securities, Inc. Broker Kyle Franklin Investment Loss Options

Posted on Wednesday, January 6th, 2021 at 12:48 am    

Were you the victim of First Allied Securities, Inc. broker Kyle Franklin (CRD# 1255175)? Franklin has been registered with Hilltop Securities Inc. in Roseville, California from 2017 to 2019 and previously with First Allied Securities, Inc. in Cameron Park, California from 2013 to 2017.  Franklin has been the subject of three customer complaints between 1999… Read More

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Can I Recover Losses from Former Cabot Lodge Securities, LLC Broker Tatyana Bunich

Posted on Tuesday, December 8th, 2020 at 8:24 pm    

Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Cabot Lodge Securities, LLC broker Tatyana Bunich (CRD# 2288860). Bunich has been registered with Independent Financial Group, LLC in Columbia, Maryland since 2017. Previously, Bunich was registered with Cl Wealth Management LLC in Columbia, Maryland from 2015… Read More

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How to Recover Losses Due to Investments in American Realty Capital (ARC) New York City Real Estate Investment Trust

Posted on Tuesday, November 24th, 2020 at 8:23 pm    

Erez Law is currently investigating brokers across the country who recommended their clients invest in American Realty Capital (ARC) New York City Real Estate Investment Trust (REIT), which is now known as New York City REIT. According to public records, brokers at brokerage firms across the country recommended their retail clients invest in American Realty… Read More

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Options for Customers of Concorde Investment Services, LLC Broker Maurice McKinney

Posted on Monday, November 9th, 2020 at 11:26 pm    

There are options for customers of Concorde Investment Services, LLC broker Maurice McKinney (CRD# 1036808) who suffered real estate security investment losses. McKinney has been registered with Concorde Investment Services, LLC in Taylor, Texas and Georgetown, Texas since 2016.  McKinney has been the subject of one customer complaint, according to his CRD report: August 2020.… Read More

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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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Were You the Victim of Independent Financial Group, LLC Broker Wenjinn Chang?

Posted on Wednesday, July 1st, 2020 at 8:42 pm    

Erez Law is currently investigating Independent Financial Group, LLC broker Wenjinn Chang (CRD# 4536266) regarding unsuitable and over-concentrated investments. Chang has been registered with Independent Financial Group, LLC in Rockville, Maryland since 2012. Chang has been the subject of two customer complaints between 2018 and 2020, according to his CRD report: February 2020. “Alleges investments… Read More

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Ameritas Investment Company, LLC Broker Gary Barth Investment Losses

Posted on Tuesday, May 5th, 2020 at 8:40 pm    

Did you suffer REIT investment losses due to investments with Ameritas Investment Company, LLC broker Gary Barth (CRD# 2466996)? Barth has been registered with Ameritas Investment Company, LLC in Kearney, Nebraska since 1994. Real estate investment trusts (REITs) are companies that own and/or operate income-producing commercial real estate, including office and apartment buildings, warehouses, shopping… Read More

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