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

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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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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Attention Victims of Western International Securities, Inc. Broker Thomas Swan

Posted on Wednesday, January 6th, 2021 at 12:51 am    

Were you the victim of Western International Securities, Inc. broker Thomas Swan (CRD# 1698430)? Swan has been registered with Western International Securities, Inc. in Ventura, California since 2008. Swan has been the subject of two customer complaints between 2002 and 2020, one of which was denied, according to his CRD report: August 2020. “Negligent Misrepresentation.”… Read More

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FINRA Sanctioned Transamerica Financial Advisors, Inc. $8.8 Million For Supervisory Violations

Posted on Wednesday, January 6th, 2021 at 12:29 am    

In December 2020, FINRA sanctioned Transamerica Financial Advisors, Inc. $8.8 million for supervisory violations related to variable annuities, mutual funds and 529 plans; this includes $4.4 million in restitution to 2,400 customers and a $4.4 million fine.  According to FINRA, the Transamerica Financial Advisors, Inc. failed to supervise its registered representatives’ recommendations of variable annuities,… Read More

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Variable Annuities Losses with LPL Financial LLC Broker David Taddeo

Posted on Monday, November 9th, 2020 at 11:28 pm    

Did you lose money investing with LPL Financial LLC broker David Taddeo (CRD# 1163829)? Taddeo has been registered with LPL Financial LLC in La Mesa, California since 2000.  Taddeo has been the subject of five customer complaints between 2002 and 2020, one of which was denied, according to his CRD report. The most recent complaints… Read More

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Were You the Victim of Former Kestra Investment Services, LLC Broker Donald Padilla?

Posted on Wednesday, August 5th, 2020 at 8:30 pm    

Erez Law is currently investigating former Kestra Investment Services, LLC broker Donald Padilla (CRD# 3053711) regarding variable annuities investment losses. Padilla was registered with National Securities Corporation in Alhambra, California from April to September 2018. Previously, he was registered with Kestra Investment Services, LLC in Alhambra, California from 2015 to 2018, when he was terminated… Read More

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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… Read More

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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… Read More

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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… Read More

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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… Read More

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