第一盟证券bob200体育

Established in 1994, First Allied Securities is a full-service broker-dealer licensed to operate throughout the United States. Headquartered in San Diego, CA, the firm is aCetera Financial Group会员。它的注册代表包括财务专业人员，他们也可能是以其业务名称在本地运营的投资顾问。他们与第一盟证券的隶属关系使他们能够向客户出售投资。bob200体育

Shepherd Smith Edwards和Kantas（SSEK律师事务所BOB体育InvestorLawyers.com）代表具有金融业监管机构（FINRA）仲裁索赔的客户。bob200体育我们与寻求追回不合适的投资建议，虚假陈述和遗漏，搅动，未经授权的交易以及其他类型的经纪人不当行为或疏忽而造成的投资损失的投资者合作。

SSEK律师事务所赢得了260万美元的FINRA仲裁裁决bob200体育

2022年，我们的经纪公司仲裁律师和宾夕法尼亚州Menzer＆Hill的证券律师获胜bob200体育a $2.6M arbitration award for a retired Arizona couple against First Allied Securities. The claimants accused the broker-dealer of unsuitably recommending non-traded real estate investment trusts (non-traded REITs) and other risky, illiquid products. This award was the full amount requested by these investors and included market-adjusted damages.

Examples of Regulatory Cases Involving First Allied Securities

According to第一盟证券bob200体育’ Central Registration Depository CRD, it has thirty-four disclosures, including thirty-eight regulatory events. Examples of these regulatory cases include:

2017：该经纪公司同意在FINRA案件中支付超过8.7万美元的费用，指控第一盟证券不利某些慈善组织和退休计划客户，这些计划有资格不必支付某些共同基金中A类股票的前端销售费用。bob200体育

2016：FINRA fined First Allied Securities $950K for alleged supervisory failures involving variable annuity L-shares. The broker-dealer and seven other firms were accused of not providing their financial advisors with reasonable guidance regarding whom these short-term investments would be most suitable for.

2015：FINRA ordered First Allied Securities to pay more than $689K in restitution and a $325K fine for allegedly failing to apply available sales discounts, when applicable, to certain unit investment trust (UIT) purchased by customers.

2010:The US Securities and Exchange Commission (SEC) and First Allied Securities arrived at a settlement in which the brokerage firm agreed to settle civil charges by paying $1.95M. The allegations were related to the regulator’s case the year before, involving ex-First Allied Securities financial advisor Harold Jaschke, who allegedly engaged in churning, unauthorized transactions, and unsuitability in customers’ accounts.

第一盟证券bob200体育Brokers Have Come Under Scrutiny Following Customer Complaints

Over the years, our investment loss lawyers have investigated some First Allied Securities financial advisors after their clients reported unexpected or excessive losses. Some examples:

• 佛罗里达州萨拉索塔的前盟国证券注bob200体育册代表大卫·肯尼（David Kennon），被投资者命名为多重不适合的主张。他也与肯尼·财务公司（Kennon Financial）在一起。
• 前第一Allied Securitiesbob200体育经纪人William Frederick Fox, now with LPL Financial. One ex-customer received a $365K settlement for losses related to private placements, non-traded REITs, oil and gas investments, and other products.
• Finra Barred BrokerMasood Hussain Azad2017年被第一盟国证券解雇。多家客户提出了FINRbob200体育A仲裁索赔并达成和解。
• Barred by FINRA in 2020,前第一Allied证券经纪人Shlomobob200体育 Strugano前客户指责不合适，虚假陈述，疏忽，盗用，虐待老人和其他指控。
• 与其前Reseda的涉嫌不当行为有关，CA财务顾问拉里·格伦·博格斯（Larry Glenn Boggs），FINRA仲裁律师和一个小组bob200体育命令首先盟军证券支付近150万美元，包括惩罚性赔偿。
• 2022年8月，前盟国证券经纪人乍得·瑞安·鲍兰bob200体育西克had at least ten pending customer disputes on record. FINRA also indefinitely suspended him beginning July 2022.

如果您在与第一届盟军证券经纪人合作时遭受损失，该怎么办？bob200体育

You must contact a seasoned FINRA attorney to help you determine whether your investment losses are due to normal market activity or whether some type of financial advisor negligence or broker fraud was a factor. SSEK Law Firm has been helping investors for over 30 years to file properly legally represented FINRA arbitration claims against their broker-dealers.

多年来，我们熟练的投资损失律师和证券律师帮助了数千名投资者，包括零售客户，退休人员，高净值个人投资者和机构投资者，以bob200体育收回仲裁，调解和诉讼的损害赔偿。SSEK律师事务所具有与华尔街上最大的公司有关的技能，资源和经验。

Call（800）259-9010或者contact us online安排免费的无义务案件咨询。