Category: Mutual Funds Articles
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 … Continue reading
In February 2019, FINRA fined Kestra Investment Services, LLC and required the firm to pay $1,947,704 in restitution for overcharging Eligible Customers for mutual fund purchases, as well as a fine of $225,000 and remediation to Eligible Customers who did … Continue reading
Erez Law is currently investigating former MSI Financial Services, Inc. financial advisor Patrick Rynn (CRD# 5515919) regarding mutual fund losses. Rynn has been registered with MML Investors Services, LLC in Latham, New York since March 2017 and previously with MSI … Continue reading
Erez Law is currently investigating Cambridge Investment Research, Inc. broker John Grillo (CRD# 2643787) regarding mutual fund losses. Grillo has been registered with Cambridge Investment Research, Inc. in Carrollton, Georgia since 2008. Grillo has been the subject of two customer … Continue reading
IFAM Capital financial advisor Daniel Gamache (CRD# 5538021) is accused of recommending LJM Capital Preservation and Growth Fund. Gamache is currently registered with and a partner at IFAM Capital in Denver, Colorado since January 2014. Gamache was registered with UBS … Continue reading
There are options for customers of Allegis Investment Services, LLC financial advisor Charles Sorensen II (CRD# 3255618) regarding mutual funds and options losses. Sorensen has been registered with Allegis Investment Services, LLC in North Logan, Utah since 2014. Previously, Sorensen … Continue reading
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 … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with LJM Capital Preservation and Growth Fund. If your broker or brokerage firm sold you the LJM Funds without disclosing the risks of the … Continue reading
Erez Law is currently investigating Ameriprise Financial Services Inc. financial advisors across the country who recommended and sold higher-fee mutual fund shares to retirees and failed to provide sales charge waivers. In February 2018, the Securities and Exchange Commission (SEC) … Continue reading
Erez Law is currently investigating Cetera Advisor Networks LLC regarding not providing applicable mutual fund sales-charge waivers for select customers, resulting in eligible customers being overcharged by at least $1,666,404 for mutual fund purchases made since July 1, 2009. Cetera … Continue reading