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Investigation of Former NYLife Securities LLC Broker Daniel Jossen

Investigation of Former NYLife Securities LLC Broker Daniel Jossen

Posted on Tuesday, October 12th, 2021 at 1:02 am    

There are options for customers of former NYLife Securities LLC broker Daniel Jossen (CRD# 5463761) who suffered investment losses. Jossen was registered with NYLife Securities LLC in Bethesda, Maryland from 2011 to 2021, when he was terminated regarding “Mr. Jossen was permitted to resign after it was discovered he solicited business in a jurisdiction in… Read More

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Options for Clients of Former LPL Financial LLC Broker Raymond Benjamin

Posted on Thursday, September 9th, 2021 at 12:08 am    

Erez Law is currently investigating former LPL Financial LLC broker Raymond Benjamin (CRD# 2855278) regarding variable annuity investment losses. Benjamin has been registered with Kingswood Capital Partners, LLC in Augusta, Georgia since 2018. Previously, Benjamin was registered with Wealthplan Partners in Augusta, Georgia from 2016 to 2017 and with Uvest Financial Services Group, Inc. in… Read More

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Investment Loss Options for Clients of Former Equitable Advisors, LLC Broker Kevin Klickna

Posted on Wednesday, September 8th, 2021 at 9:07 pm    

Were you the victim of former Equitable Advisors, LLC broker Kevin Klickna (CRD# 5640324)? Klickna was registered with Equitable Advisors, LLC in Springfield, Illinois from 2013 to 2021, when he was terminated regarding “RR discharged due to repeated document integrity issues involving client signatures and an allegation of establishing an online client account without authorization.”… Read More

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Were You the Victim of LPL Financial LLC Broker Maryanne Bessler?

Posted on Monday, August 16th, 2021 at 3:16 pm    

There are options for clients of LPL Financial LLC broker Maryanne Bessler (CRD# 2192223) who suffered investment losses. Bessler has been registered with LPL Financial LLC in Lynbrook, New York since 2011.  Bessler has been the subject of two customer complaints between 2008 and 2020, one of which was denied, according to her CRD report:… Read More

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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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