Category: Investment Loss Articles
There are options for clients of former Securities America, Inc. broker Michael Raineri (CRD# 4817558) who suffered investment losses. He was registered with Securities America, Inc. in Seattle, Washington, from 2020 to 2023, when he was terminated regarding, “The Financial … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Robert Rumley III (CRD# 4474706), who suffered investment losses. He has been registered with William Blair and William Blair & Company L.L.C. in Atlanta, Georgia, since 2021. Previously, he was registered … Continue reading
Variable annuity investments combine insurance and investment features, offering investors a range of options. They typically include a mix of securities such as stocks and bonds. However, the complexities of these investments and the high commissions paid to brokers that … Continue reading
Were you the victim of investment losses due to recommendations by Merrill Lynch, Pierce, Fenner & Smith Incorporated broker James Viktora (CRD# 5284023)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Orland Park, Illinois, from … Continue reading
Volatility in markets exposes the weaknesses or unsuitability of investment strategies and securities recommendations by advisors, such as over-concentration in certain securities or too much leverage. If investment strategies are sound, investors can generally withstand fluctuations in the market that … Continue reading
Erez Law recently filed a FINRA arbitration against Ameritas Investment Company, LLC related to Colorado Bankers Life (CBL) annuities by brokers Patrick Kenney (CRD #1449448) and Thomas Geissler (CRD #2962412). The Erez Law client alleges the following in the newly … Continue reading
Oppenheimer & Co. Inc. broker Matthew Steinberg (CRD# 2430032) is accused of Oppenheimer Portfolio Enhancement Program (PEP) investment losses. He has been registered with Oppenheimer & Co. Inc. in Jenkintown, Pennsylvania, since 1994. According to public records, a former client … Continue reading
Barred former First Allied Securities, Inc. broker Rene Bolivar (CRD# 3275996) accused of investment losses. He was registered with First Allied Securities, Inc. in Salinas, California, from 2007 to 2021. Previously, he was registered with Linsco/Private Ledger Corp. in Monterey, … Continue reading
Were you the victim of UBS Financial Services broker Gregory Foster (CRD# 1532735)? He has been registered with UBS Financial Services in Wayzata, Minnesota, since 2010. Gregory Foster Customer Complaints He has been the subject of four customer complaints between … Continue reading
NBC Securities, Inc. broker Evan Hershey (CRD# 3146598) regarding is accused of investment losses. He has been registered with Caldwell Sutter Capital, Inc. in Santa Rosa, California, since 2023. Previously, he was registered with NBC Securities, Inc. in Santa Rosa, … Continue reading