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Former Presidential Brokerage, Inc. broker Cory Davern (CRD# 2945772) faces a customer complaint for investment losses. Davern has been registered with Valic Financial Advisors, Inc. in Lakewood, Colorado since January 2020. Previously, Axa Distributors, LLC in Jersey City, New Jersey … Continue reading
Have you suffered investment losses due to recommendations by former National Securities Corporation broker Joseph Alhadeff (CRD# 2938087)? Alhadeff has been registered National Securities Corporation in New York, New York from 2012 to 2018. In November 2020, FINRA barred Alhadeff … Continue reading
Erez Law is currently investigating David Lerner Associates, Inc. broker Glenn Werner (CRD# 6118112) regarding Energy 11 investment losses. Werner has been registered with David Lerner Associates, Inc. in Syosset, New York since 2013. Energy 11, LP is a public … Continue reading
Were you the victim of Ameriprise Financial Services, Inc. broker Angel Bardeche (CRD# 4698117)? Bardeche has been registered with Ameriprise Financial Services, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The registered representative was terminated … Continue reading
Erez Law is currently investigating broker Gary Hammond (CRD# 2660432) regarding private securities investment losses. Hammond was registered with Hornor, Townsend & Kent, Inc. in Charlotte, North Carolina from August to December 2017. Previously, Hammond was registered with MML Investors … Continue reading
In December 2020, the Securities and Exchange Commission (SEC) sanctioned Pruco Securities to pay $18 million in disgorgement, interest and penalties, as well as a censure and cease-and-desist for breach of fiduciary duty related to wrap fee programs. The penalty … Continue reading
In December 2020, the Securities and Exchange Commission (SEC) settled charges with Voya Financial Advisors, Inc. regarding the firm’s “disclosure failures and misleading statements to clients regarding investment advice it gave about mutual funds, illiquid alternative investments and cash sweep … Continue reading
In December 2020, FINRA sanctioned Worden Capital Management $1.5 million, as part of a settlement regarding findings that the firm failed to establish, maintain, and enforce a supervisory system reasonably designed to supervise actively traded accounts. The settlement includes $1.2 … Continue reading
Erez Law is currently investigating former Pruco Securities, LLC broker Roger Duvall (CRD# 2503718) who was barred by FINRA. Duvall was registered with Pruco Securities, LLC in Bellevue, Washington from 2018 to 2019. Previously, he was MML Investors Services, LLC … Continue reading
There are options for clients of former Morgan Stanley broker Sumitro Pal (CRD# 4763364) who suffered investment losses. Pal has been registered with Morgan Stanley in Bethesda, Maryland from 2009 to 2018. Pal has been the subject of 10 customer … Continue reading