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Former Thrivent Investment Management Inc. broker Jonathan Hendrickson (CRD# 4683563) accused of variable annuity investment losses. He has been registered with Thrivent Investment Management Inc. in Northborough, Massachusetts from 2004 to 2022. Jonathan Hendrickson Customer Complaints He has been the … Continue reading
In October 2022, FINRA fined UBS Securities LLC $2.5 million for alleged violations related to the firm’s failure to deliver positions that resulted in tens of thousands of short-selling violations. According to the order, between 2009 and 2018, UBS Securities … Continue reading
Were you the victim of Center Street Securities, Inc. broker Joseph Latour (CRD# 4436861) who is accused of unsuitable investment recommendations? He has been registered with Center Street Securities, Inc. in Springfield, Missouri since 2012 and Latour Asset Management LLC … Continue reading
Erez Law is currently investigating Aegis Capital Corp. related to the sale of variable interest rate structured products (VRSPs) by registered representatives to the firm’s retail investors. Aegis Capital Enters Into Content Agreement with SEC In July 2022, Aegis Capital … Continue reading
Erez Law recently filed a FINRA arbitration against PFS Investments Inc. for stocks and futures trading losses by PFS Investments Inc. Broker Kevin Hobbs (CRD #4267482), who was a registered representative of PFS Investments Inc. in Lake Worth, Florida between … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Fernando Silva (CRD# 7326519) regarding misappropriated funds. He was registered with Morgan Stanley in Tucson, Arizona from August 2021 to September 2022, when he was terminated regarding, “Allegations that the representative … Continue reading
Did you lose money investing in GWG Holdings Inc. L Bonds with Intervest International Equities Corporation broker Jon Vinge (CRD# 4445831)?. He has been registered with Intervest International Equities Corporation in Seattle, Washington since 2007. Jon Vinge Customer Complaints He … Continue reading
Were you the victim of former Cetera Investment Services LLC broker Brad Bakken (CRD# 2475927) who is accused of unsuitable investment recommendations? He has been registered with LPL Financial LLC in Wahpeton, North Dakota since 2017. Previously, he was registered … Continue reading
Were you the victim of Oppenheimer & Co. Inc. broker David Fiegeles (CRD# 1530561)? He has been registered with Oppenheimer & Co. Inc. in Melville, New York since 2003. David Fiegeles Customer Complaints He has been the subject of two … Continue reading
Were you the victim of Lincoln Financial Advisors Corporation broker Jeffrey Furniss (CRD# 4888498) regarding energy sector losses? He has been registered with Lincoln Financial Advisors Corporation in Annapolis, Maryland since 2005. Jeffrey Furniss Customer Complaints He has been the … Continue reading