The Securities and Exchange Commission (SEC) has filed a lawsuit against twin brothers and financial advisors, Adam S. Kaplan (CRD#: 6609019) and Daniel E. Kaplan (CRD#: 6609015), for misappropriating more than $5 million from at least 60 advisory clients. Client of Adam or Daniel Kaplan? Discuss your legal options with an attorney at Sonn Law Group Get [...]
"The indictment indicates a massive fraud by Greg Lindberg and others, which ultimately harmed investors and policyholders. Sonn Law represents investors who were harmed by Lindberg’s alleged scheme." Attorney Jeff Sonn, Sonn Law Group Click to download the full text of the indictment. Greg E. Lindberg, a former insurance executive from North Carolina, has been [...]
Key Takeaways Can you sue a financial advisor? You may be able to sue a financial advisor if they caused financial harm through negligence, misconduct, fraud or breach of fiduciary duty. When does a lawsuit apply? Claims may arise if an advisor makes unsuitable investment recommendations, misrepresents or omits material risks, fails to disclose conflicts [...]
INVESTORS: Ameriprise Financial Services broker Reza Hamid Taraz was named in customer dispute alleging unsuitable investment recommendations. Reza Hamid Taraz (CRD: 4079866) is registered as a broker and investment adviser with Ameriprise Financial Services, where he’s been employed since 2000. Taraz was previously registered as a broker with IDS Life Insurance Company from 2000 until [...]
INVESTORS: Lifemark Securities broker Garrett Wayne Moretz was named in customer dispute alleging unsuitable recommendations in GWG L-Bonds. Garrett Wayne Moretz (CRD: 4086791) is registered as a broker and investment adviser with Lifemark Securities, where he’s been employed since 2017. Moretz was previously registered as a broker with First Heartland Capital from 2009 until 2017. [...]
BREAKING NEWS (February 28, 2023): The Washington Post is reporting that four military families have accused Caz Craffy of taking direct control of their life insurance money while he was employed by New Jersey-based Monmouth Capital Management. The families allege that Craffy exploited their grief and leveraged his position to generate clients, making trades that [...]
INVESTORS: American Trust Investment Services broker Linda Jill Wimsatt was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Linda Jill Wimsatt (CRD: 1401802) is registered as a broker and investment adviser with American Trust Investment Services, where she’s been employed since 2022. Wimsatt was previously registered as a broker [...]
INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L bonds. Thomas Brian Swan (CRD: 1698430) is registered as a broker and investment adviser with Western International Securities, where he’s been employed since 2008. Swan was previously registered as a [...]
INVESTORS: American Trust Investment Services broker Scot Barringer was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Scot Barringer (CRD: 13585168) is registered as a broker and investment adviser with American Trust Investment Services, where he’s been employed since 2020. Barringer was previously registered as a broker with WestPark [...]
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