Variable Annuities

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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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 […]

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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 […]

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