by Jeff Pederson | Jun 17, 2022 | Uncategorized
The SEC, the Securities and Exchange Commission, states that broker sales of the GWG L Bond are inappropriate for most investors in a recently filed complaint. Regulation Best Interest (BI) and/or the FINRA suitability rule require that financial advisors recommend...
by Jeff Pederson | Jul 3, 2019 | Uncategorized
The SEC charged Kerry Lee Hoffman, former LPL advisor from Chicago, with securities fraud. If you invested with Hoffman call 303-300-5022 to discuss your rights and potential for recovery. The fraud concerned sales of GT Media in which he partnered with childhood...
by Jeff Pederson | May 22, 2018 | Uncategorized
If you were an investor with Peter Holler and invested in Woodbridge notes, please call 1-866-817-0201 about options to recover losses. We believe Holler and his employer have the bulk of responsibility for these losses. During the relevant period when Holler sold...
by Jeff Pederson | Dec 7, 2017 | Uncategorized
NEXT Financial Group recently entered into a regulatory settlement with FINRA, the regulator that oversees securities brokerages, concerning lapses in supervision that have allegedly led to fraud in investor accounts. This is part of a continuing and ongoing series...
by Jeff Pederson | Aug 27, 2017 | Uncategorized
Sonya Camarco is an LPL Financial advisor based in Colorado Springs who stole approximately $2.8 million from her investors/clients. Camarco then used the stolen funds for personal expenses such as buying several homes. If you are a victim, please call the Law...
Recent Comments