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Category Annuities

FINRA Sanctioned Lincoln Advisors Over Excessive Annuity Transactions

September 26, 2018

The Wolper Law Firm is currently investigating claims against Lincoln Investments regarding excessive annuity transactions.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 25, 2018, FINRA sanctioned Lincoln Investment for improper and excessive annuity exchanges. “Lincoln sold a significant amount of variable annuities during the relevant time period. …

Summit Brokerage Services Financial Advisor, John Raleigh, Has Pending Customer Complaint Alleging Unsuitable Annuity Recommendations

August 22, 2018

The Wolper Law Firm is currently investigating claims against John Raleigh, a Financial Advisor at Summit Brokerage Services in Sarasota, FL.  John Raleigh has been in the securities industry since 1993 and previously worked at American Express Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 7,…

Current Summit Brokerage Services Financial Advisor, Linda Zara, Was Terminated By Wells Fargo For Taking A Loan From A Client

August 22, 2018

The Wolper Law Firm is currently investigating claims against Linda Zara, a Financial Advisor at Summit Brokerage Services in Boca Raton, FL.  Linda Zara has been in the securities industry since 1993. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 7, 2017, Linda Zara was terminated by Wells…

INVESTOR ALERT—Centaurus Financial Broker, Ralph Quintana, Has Pending Customer Complaint For Allegedly Failing To Disclose Material Facts Regarding An Investment

August 9, 2018

The Wolper Law Firm is currently investigating claims against Ralph Quintana, a Financial Advisor at Centaurus Financial in Upland, California.  Ralph Quintana has been in the securities industry since the 1990s and previously worked at LPL Finanical. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 11, 2018, a…

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