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Laidlaw & Company Broker, Andrew Grant, Sanctioned By FINRA For Allegedly Effecting Unauthorized Transactions In Customer Accounts

January 31, 2020

Andrew Justin Grant (CRD # 2709882) is a Financial Advisor at Laidlaw & company LTD in Melville, NY. Andrew Grant has been in the securities industry since since 1997 and previously worked at Obsidian Financial Group, LLC, Empire Financial Group, Inc., Ehrenkrantz King Nussbaum, Inc. Weatherly Securities Corporation, Tasin & Company, Inc., IAR Securities Corp.,…

Lincoln Financial Advisors Corporation Stock Broker, Peter Maller, Has Two Pending Customer Complaints Alleging Various Sales Practice Violations

January 17, 2020

Peter David Maller (CRD # 2322403) is a Financial Advisor at Lincoln Financial Advisors Corporation in Hunt Valley, MD.  Peter Maller has been in the securities industry with Lincoln Financial Advisors since 1993. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Peter Maller has two pending customer complaints alleging: August…

Ameriprise Financial Services Broker, Joseph Peggs, Has Eight Disclosed Customer Complaints Alleging Various Sales Practice Violations

January 16, 2020

Joseph Peggs (CRD # 121971) is a Financial Advisor at Ameriprise Financial Services, Inc. in Seminole, FL.  Joseph Peggs has been in the securities industry since 1984 and previously worked at Planmember Securities Corporation, AXA Advisors, LLC, Woodbury Financial Services, Inc. Jefferson Pilot Securities Corporation, NFP Securities, Inc. and FFP Securities, Inc. According to publicly…

Former NY Life Securities Broker, Gabriel Hynes, Barred By FINRA For Selling Future Income Payments, LLC To Retail Investors

January 13, 2020

Gabriel Hynes (CRD # 3152541) was a former Financial Advisor at NY Life Securities in St. Augustine, FL.  Gabriel Hynes has been in the securities industry since 1999 and previously worked at Kestra Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 7, 2020, FINRA sanctioned Gabriel…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis