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尽管她参与了数十起证券案件,但经纪公司仍在清理纽波特海岸证券经纪人Bambbob200体育i I. Holzer的交易。
福布斯杂志(Forbes Magazine)写了一篇文章,将经纪人班比·霍尔策(Bambi Holzer)作为某人,其投资建议收到了超过1200万美元的证券定居点,经纪公司继续清除她的交易。bob200体育多年来,与我们在Shepherd Smith Edwards和Kantas,Ltd,LLP所见过的几乎任何人相比,对她的经纪人活动不当提出了数十起投诉。
Holzer is currently a Newport Coast Securities broker, but her employment history with different broker-dealers within the industry has involved numerous financial firms. According to the Financial Industry Regulatory Authority, she was previously registered with Wedbush Morgan Securities Inc., Brookstreet Securities Corporation, and Sequoia Equities Securities. Holzer also worked with瑞银(瑞银),她和该公司被迫支付至少1,140万美元来解决证券索赔,据称她通过歪曲保证的回报而歪曲了他们歪曲了变量年金。bob200体育在她在那儿的时间之后,霍尔泽去了阿格·爱德华兹(Ag Edwards)(年龄)上班,2003年因涉嫌从事商业惯例而被解雇,据称她与该公司的政策不符。
后来,在布鲁克斯特里特(Brookstreet)期间,据称霍尔泽(Holzer)在2005年在比佛利山庄(Beverly Hills)的一次演讲中做出了虚假陈述,以了解信任如何允许一对虚构的夫妇推迟732,000美元的税款并赚取900万美元。她后来在她的网站上说,那天有500人看着她。但是,法院文件说,实际上只有33人出席。
Also while at Brookstreet, NASD, FINRA’s predecessor suspended Holzer for 21 days and ordered her to pay a $100,000 fine for negligent misrepresentations she allegedly made about certain product features related to variable annuities when she worked at PaineWebber. And an example of one complaint still pending against Holzer is the FINRA arbitration claim filed in early 2010 by a Wedbush Morgan Securities customer who is contending that account mishandling, breach of fiduciary duty, and breach of contract allegedly resulting in $824,000 in damages.
霍尔泽(Holzer)在FINRA的中央登记库中的记录为105页,而诉讼和监管纪律处分超过90页。指控包括:
•违反《伊利诺伊州证券法》•与变量年金有关的疏忽表示bob200体育
•欺诈•歪曲费用•不合适的投资
• Private placement-related fraud • Churning • Variable annuity-related fraud • Inadequate supervision • Elder abuse
•Provident Reynties,LLC的过失销售/建议•疏忽建议/出售不安全的产品,包括Behringer Harvard Security Trust
FINRA对Holzer的许多主张涉及私人安置和可变年金工具。这些仲裁案件中有很多导致了大量定居点。
Beware of Your Broker,福布斯,2009年3月25日
FINRACentral Registration Depository
更多博客文章:
Ernst &Young Auditor Suspended Over Part Played in Botched 2004 Audit of AA Investors Management LLC,,,,Stockbroker Fraud Blog, January 7, 2013
SEC综述:马萨诸塞州投资顾问获得178万美元的判决,安联支付1,230万美元来解决外国腐败行为法案诉讼,,,,Stockbroker Fraud Blog, January 7, 2013
清算众议院协会希望为清算成员提供更大的保护,机构投资者证券博客,2012年12月31日bob200体育