Variable Annuities

Liberty Partners Financial Services, LLC Broker John Davenport Investment Loss Options

Posted on Wednesday, May 20th, 2020 at 7:34 am    

Did you suffer investments losses due to recommendations by Liberty Partners Financial Services, LLC broker John Davenport (CRD# 1448999)? Davenport has been registered with Liberty Partners Financial Services, LLC in Norwalk, Connecticut since 2016.  In January 2019, FINRA sanctioned Davenport to a $20,000 civil and administrative penalty and fine and suspended him from February to […]

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Options for Former Securities America, Inc. and First Allied Securities, Inc. Broker Jaime Westenbarger

Posted on Tuesday, May 5th, 2020 at 8:51 pm    

Barred former Securities America, Inc. and First Allied Securities, Inc. broker Jaime Westenbarger (CRD# 4625703) faces multiple customer complaints for investment losses. Westenbarger was registered with Securities America, Inc. in Grand Rapids, Michigan from 2016 to 2019, when he was terminated regarding, “The representative was discharged for violating Firm policies and procedures regarding borrowing funds […]

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Former Securities America, Inc. and Brecek and Young Broker Matthew Baltz Variable Annuity Losses

Posted on Monday, March 9th, 2020 at 9:28 pm    

Erez Law is currently investigating former Securities America, Inc. and Brecek and Young broker Matthew Baltz (CRD# 2635133) regarding variable annuity losses. Baltz has been registered with Cambridge Investment Research, Inc. in Auburn, California from 2014 to 2017. Previously, Baltz was registered with Investors Capital Corp. in Auburn, California from 2011 to 2014 and with […]

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Investment Losses with Former MML Investors Services, LLC Broker Charles Evan?

Posted on Monday, February 24th, 2020 at 8:46 pm    

Erez Law is currently investigating former MML Investors Services, LLC broker Charles Evan (CRD# 836083) regarding investment losses. Evan was registered with MML Investors Services, LLC in Wellesley, Massachusetts from 2017 to 2019, when he was terminated regarding, “Terminated in connection with allegations concerning inappropriate traditional insurance sales practices.” Previously, Evan was registered with MSI […]

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Former The Leaders Groups, Inc. Broker Harold Schwartz Recovery Loss Options

Posted on Friday, January 3rd, 2020 at 3:48 pm    

Were you the victim of former The Leaders Groups, Inc. broker Harold Schwartz (CRD# 841225)? Schwartz has been registered with Stephen A. Kohn & Associates, Ltd. in Jacksonville, Florida since February 2019. Previously, Schwartz was registered with Royal Alliance Associates, Inc. in Lutz, Florida from 2015 to 2019, when he was terminated regarding, “Making an […]

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Investment Losses with Ameriprise Financial Services, Inc. Broker Joseph Peggs

Posted on Friday, January 3rd, 2020 at 12:53 pm    

Were you the victim of Ameriprise Financial Services, Inc. broker Joseph Peggs (CRD# 1219721)? Peggs has been registered with Ameriprise Financial Services, Inc. in Seminole, Florida since 2015. Previously, Peggs was registered with Planmember Securities Corporation in Seminole, Florida from 2013 to 2015. In October 2002, Peggs NFP Securities terminated Peggs regarding, “NASD enforcement alleging […]

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MML Investors Services, LLC Broker Leon Almeida Variable Annuity Losses

Posted on Monday, December 2nd, 2019 at 1:08 pm    

Erez Law is currently investigating MML Investors Services, LLC broker Leon Almeida (CRD# 5645472) regarding variable annuity investment losses. Almeida has been registered with MML Investors Services, LLC in Paramus, New Jersey since 2017. Previously, Almeida was registered with MSI Financial Services, Inc. in Paramus, New Jersey from 2011 to 2017. Almeida has been the […]

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Former Transamerica Financial Advisors, Inc. Broker Pedro L. Gonzalez-Seijo Barred by FINRA for Stealing Customer Funds

Posted on Tuesday, July 16th, 2019 at 8:32 pm    

Former Transamerica Financial Advisors, Inc. broker Pedro L. Gonzalez-Seijo (CRD# 2182912) was barred by FINRA after it was found that he took $583,161.25 from his clients. Gonzalez-Seijo was president and owner of PGS Insurance, Inc. Gonzalez-Seijo was registered with Transamerica Financial Advisors, Inc. in San Juan, Puerto Rico from 2009 to May 2016, when he […]

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Were You a Victim of Former Mutual Of Omaha Investor Services, Inc. Financial Advisor Edward Matthes?

Posted on Monday, June 10th, 2019 at 1:36 pm    

Former Mutual Of Omaha Investor Services, Inc. financial advisor Edward Matthes (CRD# 2788055) was barred by FINRA regarding unsuitable variety annuity investment recommendations. Matthes was registered with Mutual Of Omaha Investor Services, Inc. in Oconomowoc, Wisconsin from 2012 to March 2019, when he was terminated regarding, “The representative was discharged for creating fictitious account statements […]

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How to Bring a Claim Against Barred Financial Advisor Phillip Johnson

Posted on Saturday, March 9th, 2019 at 12:28 pm    

  Were you the victim of barred financial advisor Phillip Johnson (CRD# 501352)? Johnson was registered with D.H. Hill Securities, Lllp in Kingwood, Texas from April 2016 to December 2017 and with Suntrust Investment Services, Inc. in Nashville, Tennessee from 2003 to 2015, when he was terminated regarding, “entered into a loan agreement with existing […]

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