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Did You Lose Money Investing with Former Northwestern Mutual Investment Services, LLC Broker Chad Mackland?

Did You Lose Money Investing with Former Northwestern Mutual Investment Services, LLC Broker Chad Mackland?

Posted on Monday, July 19th, 2021 at 7:10 pm    

There are options for customers of former Northwestern Mutual Investment Services, LLC broker Chad Mackland (CRD# 4933804) who suffered investment losses. Mackland was registered with Lion Street Financial, LLC in Council Bluff, Iowa from 2018 to 2020. Previously, Mackland was registered with MML Investors Services, LLC in  Omaha, Nebraska from 2017 to 2018, when he… Read More

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Former VALIC Financial Advisors, Inc. Client Wins FINRA Arbitration for $350,000 Related to the Sale of Variable Annuities

Posted on Monday, May 17th, 2021 at 4:13 pm    

In January 2021, FINRA sanctioned VALIC Financial Advisors, Inc. to pay a $350,000 fine. FINRA found that between January 2017 and October 2018, VALIC Financial Advisors, Inc. failed to establish a reasonably designed system and written supervisory procedures for the surveillance of rates of variable annuity exchanges and for corrective action in the case of… Read More

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MML Investors Services, LLC Broker Harrison Nathan Investment Loss Options

Posted on Tuesday, April 27th, 2021 at 12:42 am    

There are options for clients who lost money investing with MML Investors Services, LLC broker Harrison Nathan (CRD# 3275199). Nathan has been registered with MML Investors Services, LLC in Atlanta, Georgia since 2010.  Nathan has been the subject of one customer complaint, according to his CRD report: January 2021. “The complainant alleges that beginning in… Read More

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Investment Loss Options for Clients of LPL Financial LLC Broker Mitchell Griffin

Posted on Tuesday, April 27th, 2021 at 12:39 am    

Erez Law is currently investigating LPL Financial LLC broker Mitchell Griffin (CRD# 3129686) regarding variable annuity investment losses. Griffin has been registered with LPL Financial LLC in Columbus, Mississippi since 2017. Previously, Griffin was registered with Axa Advisors, LLC in Columbus, Mississippi from 2003 to 2017 and with The Equitable Life Assurance Society Of The… Read More

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VALIC Financial Advisors to Pay $1.75 Million for Variable Annuity Swaps

Posted on Monday, March 15th, 2021 at 10:26 pm    

In January 2021, FINRA fined VALIC Financial Advisors $1.75 million regarding variable annuity exchanges. According to FINRA’s Letter of Acceptance Waiver, and Consent (AWC), from October 2011 through December 2014, VALIC Financial Advisors failed to establish, maintain and enforce a system reasonably designed to supervise the sale of variable annuity contracts. Variable annuity swaps can… Read More

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Triad Advisors to Pay $194,000 Settlement for Failure to Supervise Mutual Fund Transactions

Posted on Monday, March 8th, 2021 at 7:05 pm    

In February 2021, Financial Industry Regulatory Authority (FINRA) ordered Triad Advisors to pay a $150,000 fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges, as well as not making timely disclosures involving customer complaints and arbitration. Triad Advisors also agreed to repay affected clients nearly… Read More

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Variable Annuity Investment Losses with Former Woodbury Financial Services, Inc. Broker Lisa Brumm

Posted on Monday, March 1st, 2021 at 7:48 pm    

Erez Law is currently investigating former Woodbury Financial Services, Inc. broker Lisa Brumm (CRD# 2834764) regarding variable annuity investment losses. Brumm has been registered with Woodbury Financial Services, Inc. in Portland, Oregon from 2017 to 2020. Previously, Brumm was registered with AXA Advisors, LLC in Portland, Oregon from 2011 to 2017. In February 2021, FINRA… Read More

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Investment Loss Options for Clients of Former Bankers Life Securities, Inc. Broker Ryan Tarjanyi

Posted on Monday, February 1st, 2021 at 8:52 pm    

Erez Law is currently investigating former Bankers Life Securities, Inc. broker Ryan Tarjanyi (CRD# 6065805) regarding investment losses. Tarjanyi was registered with Trustmont Financial Group, Inc. in Greensburg, Pennsylvania from 2018 to 2020. Previously, Tarjanyi was registered with Bankers Life Securities, Inc. in Kettering, Ohio from 2016 to 2018 when he was terminated regarding, “Not… Read More

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Transamerica Financial Advisors Pays $8.8 Million Fine and Restitution for Unsuitable Mutual Funds, Variable Annuities, and 529 Savings Plans

Posted on Tuesday, January 26th, 2021 at 7:25 pm    

In December 2021, FINRA sanctioned Transamerica Financial Advisors $8.8 million over unsuitable sales of mutual funds, variable annuities, and 529 savings plans. The settlement included $4.4 million restitution and a $4.4 million fine to 2,400 affected customers.  FINRA found that between May 1, 2010 and May 15, 2016, Transamerica Financial Advisors failed to supervise its… Read More

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Variable Annuity Losses with Money Concepts Capital Corp. Broker Ray Reese

Posted on Tuesday, January 12th, 2021 at 10:21 pm    

Erez Law is currently investigating Money Concepts Capital Corp. broker Ray Reese (CRD# 1694620) regarding variable annuity loses. Reese has been registered with Money Concepts Capital Corp. in Farmington, Missouri since 1997. Reese has been the subject of five customer complaints between 1999 and 2020, one of which was denied and one was closed without… Read More

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