Category: American Portfolios Financial Services

Did You Lose Money Because of Mark Hopkins?

Filed: January 16, 2024

Mark Hopkins currently has one (1) pending civil event. Overall, he has been the subject of three (3) regulatory events, one (1) civil event, three (3) customer complaints, one (1) termination event, and one (1) financial event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Mark Lewton Hopkins.

Who Is Mark Lewton Hopkins?

• Advisor Name: Mark Lewton Hopkins
• Aliases: Mark Hopkins
• CRD: 2653473
• Location: Grand Blanc, Michigan
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: American Portfolios Financial Services, Inc., LPL Financial Corporation, and American Express Financial Advisors Inc.
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 3
• Number of Known Civil Events: 1
• Number of Known Termination Events: 1
• Number of Known Financial Events: 1
• Can Mark Hopkins Be Sued: Yes, in Private Arbitration
• Can Mark Hopkins’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,000
• Highest Settlement: $400,000

If you have suffered investment losses by Mark Hopkins, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Mark Hopkins For Broker Misconduct

As of this publication date, Mark Hopkins has been the subject of 3 regulatory events, 3 customer disputes, 1 civil event, 1 termination event, and 1 financial event. Let’s review them below.

In March 2023, United States Securities and Exchange Commission initiated a regulatory action against or in reference to Mark Hopkins after The Commission finds that on May 26, 2022, Hopkins pled guilty to one count of wire fraud.

In July 2020, a civil event action was filed against or in reference to Mark Hopkins.

In November 2019, Michigan initiated a regulatory action against or in reference to Mark Hopkins for omitting a material fact necessary to make other statements made not misleading when he recommended that XXX liquidate securities to be invested in a credit union investment on XXX behalf, but omitted to state that the liquidated funds would not be invested in an account over which XXX had any ownership or control, contrary to section 501 of the Securities Act, MCL 451.2501.

In July 2019, a FINRA arbitration was filed against or in reference to Mark Hopkins by a customer of American Portfolios Financial Services, Inc. alleging that Mr. Hopkins solicited $500,000 purportedly for an investment away from APFS and utilized the funds for his own purposes. Per the customer, he/she lost over $500,000 because of Mr. Hopkins’s actions. On September 28, 2020, Mr. Hopkins settled the claim for $175,000, and some or all of this amount may have been paid by Mr. Hopkins’s employer and/or insurance carrier.

In May 2019, FINRA initiated a regulatory action against or in reference to Mark Hopkins for refusing to produce documents and information requested by FINRA in connection with its investigation relating to the issues disclosed in his Form U5.

In March 2019, a complaint was filed against or in reference to Mark Hopkins by a customer of American Portfolios Financial Services, Inc. alleging that Mr. Hopkins solicited funds for an investment away from the broker-dealer at a credit union. The credit union has no FBO account [REDACTED]. Per the customer, he/she lost over $400,000 because of Mr. Hopkins’s actions. On March 22, 2021, Mr. Hopkins settled the claim for $400,000, and some or all of this amount may have been paid by Mr. Hopkins’s employer and/or insurance carrier.

In December 2018, American Portfolios Financial Services, Inc. terminated Mark Hopkins for accepting customer funds for an investment not on the books of the B/D without obtaining pre-approval.

In December 2016, Mr. Hopkins had outstanding debt totaling $108,000. Mr. Hopkins settled this matter in the amount of $25,000.

In August 2008, a complaint was filed against or in reference to Mark Hopkins by a customer of LPL Financial alleging that purchase of REIt in October 2006 was unsuitable. Per the customer, he/she lost over $7,125 because of Mr. Hopkins’s actions.

How To File A Claim Against Mark Hopkins (previously with American Portfolios Financial Services, Inc., LPL Financial Corporation, and American Express Financial Advisors Inc.) To Get Your Money Back

If you have questions about Mark Hopkins, American Portfolios Financial Services, Inc., LPL Financial Corporation, American Express Financial Advisors Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jason Mieras?

Filed: February 15, 2024

Jason Mieras currently has one (1) pending criminal charge. Overall, he has been the subject of two (2) customer complaints and one (1) criminal event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jason Lawrence Mieras.

Who Is Jason Lawrence Mieras of American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.?

• Advisor Name: Jason Lawrence Mieras
• Aliases: Jason L Mieras
• CRD: 2850648
• Location: Lake Como, New Jersey and Holbrook, New York
• Current Employer: American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.
• Previous Firms: Nathan & Lewis Securities, Inc.
• Number of Known Customer Complaints: 2
• Number of Known Criminal Events: 1
• Can Jason Mieras Be Sued: Yes, in Private Arbitration
• Can Jason Mieras’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $600,000

If you have suffered investment losses by Jason Mieras, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jason Mieras For Broker Misconduct

As of this publication date, Jason Mieras has been the subject of 2 customer disputes and 1 criminal event. Let’s review them below.

In October 2023, felony charges were pressed against Mr. Mieras in Arizona Superior Court for Phoenix, Maricopa County, Arizona. Mr. Mieras received 2 felony counts for Aggravated Assault and Resisting Arrest. As of this publication date, this charge remains pending.

In July 2023, a complaint was filed against or in reference to Jason Mieras by a customer of American Portfolios Financial Services, Inc. alleging that individual equity recommendation resulted in market loss and decline in account value. Per the customer, he/she lost over $250,000 because of Mr. Mieras’s actions.

In June 2015, a complaint was filed against or in reference to Jason Mieras by a customer of American Portfolios Financial Services, Inc. alleging that premium payments were not made for enhanced death benefit between Oct. 2012 and Jan. 2013, policy lapsed and nationwide would not reinstate prior to customer’s death. Per the customer, he/she lost over $1,500,000 because of Mr. Mieras’s actions. On June 9, 2017, Mr. Mieras settled the claim for $600,000, and some or all of this amount may have been paid by Mr. Mieras’s employer and/or insurance carrier.

How To File A Claim Against Jason Mieras of American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (previously with Nathan & Lewis Securities, Inc.) To Get Your Money Back

If you have questions about Jason Mieras, American Portfolios Financial Services, Inc., American Portfolios Advisors, Inc., Nathan & Lewis Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Peter Lawrence?

Filed: February 9, 2024

Peter Lawrence currently has four (4) pending customer complaints. Overall, he has been the subject of six (6) customer complaints and two (2) termination events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Peter Thomas Lawrence.

Who Is Peter Thomas Lawrence?

• Advisor Name: Peter Thomas Lawrence
• Aliases: Peter Lawrence
• CRD: 2695687
• Location: Hauppauge, New York
• Current Employer: Currently Not Registered
• Previous Firms: American Portfolios Financial Services, Inc., Questar Capital Corporation, and Usallianz Securities, Inc.
• Number of Known Customer Complaints: 6
• Number of Known Termination Events: 2
• Can Peter Lawrence Be Sued: Yes, in Private Arbitration
• Can Peter Lawrence’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: Unknown

If you have suffered investment losses by Peter Lawrence, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Peter Lawrence For Broker Misconduct

As of this publication date, Peter Lawrence has been the subject of 6 customer disputes and 2 termination events. Let’s review it below.

In December 2023, a complaint was filed against or in reference to Peter Lawrence by a customer of American Portfolios Financial Services, Inc. alleging that the VA purchased in 2023 was misrepresented and unsuitable. Per the customer, he/she lost over $5,000 because of Mr. Lawrence’s actions. As of this publication date, this claim remains pending.

In November 2023, a complaint was filed against or in reference to Peter Lawrence by a customer of American Portfolios Financial Services, Inc. alleging that information on a disclosure form used for the purchase of a variable annuity in 2023 was omitted and she did not sign it. Per the customer, he/she lost over $12,347.85 because of Mr. Lawrence’s actions. As of this publication date, this claim remains pending.

In October 2023, American Portfolios Financial Services, Inc. terminated Peter Lawrence for providing unapproved reporting statements to a client, and the statements contained inaccuracies.

In October 2023, a complaint was filed against or in reference to Peter Lawrence by a customer of American Portfolios Financial Services, Inc. alleging that variable annuity purchased in 2022 was misrepresented and unsuitable. Per the customer, he/she lost over $5,000 because of Mr. Lawrence’s actions. As of this publication date, this claim remains pending.

In September 2023, a complaint was filed against or in reference to Peter Lawrence by a customer of American Portfolios Financial Services, Inc. alleging that products purchased beginning no later than 2012 were unsuitable. The customer further alleges that Mr. Lawrence provided inaccurate portfolio summaries, thereby breaching his fiduciary duty to the customer. Per the customer, he/she lost over $100,000 because of Mr. Lawrence’s actions. As of this publication date, this claim remains pending.

In September 2023, a complaint was filed against or in reference to Peter Lawrence by a customer of Questar Capital Corporation alleging misrepresentation of a variable annuity purchased in 2015. Per the customer, he/she lost over $80,000 because of Mr. Lawrence’s actions.

In December 2004, Pruco Securities, LLC terminated Peter Lawrence after the manager signed agents’ names to application in an effort to assist them in meeting production requirements to maintain association with the company.

In October 2001, a complaint was filed against or in reference to Peter Lawrence by a customer of American Express Financial Advisors alleging that the client was shown illustrations on a fixed annuity, yet he purchased a variable annuity. He stated he wanted a fixed annuity, as he did not want to lose principal. The annuity was purchased in April 2000 for $37666.80 and now has a value of $27186.35. Per the customer, he lost over $10,480.45 because of Mr. Lawrence’s actions.

How To File A Claim Against Peter Lawrence (previously with American Portfolios Financial Services, Inc., Questar Capital Corporation, and Usallianz Securities, Inc.) To Get Your Money Back

If you have questions about Peter Lawrence, American Portfolios Financial Services, Inc., Questar Capital Corporation, Usallianz Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Scott Miller?

Filed: January 24, 2024

Scott Miller currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Scott Michael Miller.

Who Is Scott Michael Miller of Ameriprise Financial Services, LLC?

• Advisor Name: Scott Michael Miller
• Aliases: Scott Miller
• CRD: 1927089
• Location: Boca Raton, Florida
• Current Employer: Ameriprise Financial Services, LLC
• Previous Firms: Jefferson Pilot Securities Corporation and ING Financial Partners, Inc.
• Number of Known Customer Complaints: 2
• Can Scott Miller Be Sued: Yes, in Private Arbitration
• Can Scott Miller’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,895
• Highest Settlement: Unknown

If you have suffered investment losses by Scott Miller, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Scott Miller For Broker Misconduct

As of this publication date, Scott Miller has been the subject of 2 customer disputes. Let’s review them below.

In June 2023, a complaint was filed against or in reference to Scott Miller by a customer of Ameriprise Financial Services, LLC alleging that in December 2021, he was wrongfully recommended to exchange his Nationwide annuity policy with an unsuitable RVS Life annuity. Per the customer, he lost over $500,895 because of Mr. Miller’s actions. As of this publication date, this claim remains pending.

In August 2010, a complaint was filed against or in reference to Scott Miller by a customer of Ameriprise Financial Services, LLC alleging that the annuity he purchased in June 2008 was unsuitable. Per the customer, he lost over $6,356.60 because of Mr. Miller’s actions.

How To File A Claim Against Scott Miller of Ameriprise Financial Services, LLC (previously with Jefferson Pilot Securities Corporation and ING Financial Partners, Inc.) To Get Your Money Back

If you have questions about Scott Miller, Ameriprise Financial Services, LLC, Jefferson Pilot Securities Corporation, ING Financial Partners, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Ted Jackson?

Filed: January 24, 2024

Theodore Jackson (also known as Ted Jackson) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Theodore Charles Jackson.

Who Is Theodore Charles Jackson of Ameriprise Financial Services, LLC?

• Advisor Name: Theodore Charles Jackson
• Aliases: Ted Jackson
• CRD: 1414259
• Location: Tuscaloosa, Alabama
• Current Employer: Ameriprise Financial Services, LLC
• Previous Firms: IDS Life Insurance Company
• Number of Known Customer Complaints: 2
• Can Theodore Jackson Be Sued: Yes, in Private Arbitration
• Can Theodore Jackson’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $225,000

If you have suffered investment losses by Theodore Jackson, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a portfolio mismanagement lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Ted Jackson For Broker Misconduct

As of this publication date, Theodore Jackson has been the subject of 2 customer disputes. Let’s review them below.

In October 2020, a FINRA arbitration was filed against or in reference to Theodore Jackson by a customer of Ameriprise Financial Services, LLC alleging that she transferred her investment in a REIT ETN to Ameriprise and Respondents failed to recommend that she change her investments and seek damages in an unspecified amount. On April 18, 2022, Mr. Jackson settled the claim for $225,000, and some or all of this amount may have been paid by Mr. Jackson’s employer and/or insurance carrier.

In August 2000, a complaint was filed against or in reference to Theodore Jackson by a customer of American Express Financial Advisors Inc. alleging that Mr. Jackson made misrepresentations about a life insurance policy that was sold to one of the plaintiffs in 1986. On November 25, 2002, Mr. Jackson settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Jackson’s employer and/or insurance carrier.

How To File A Claim Against Ted Jackson of Ameriprise Financial Services, LLC (previously with IDS Life Insurance Company) To Get Your Money Back

If you have questions about Theodore Jackson, Ameriprise Financial Services, LLC, IDS Life Insurance Company, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Bruce Bordelon?

Filed: January 24, 2024

Bruce Bordelon has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Bruce Joseph Bordelon.

Who Is Bruce Joseph Bordelon of Ameriprise Financial Services, LLC?

• Advisor Name: Bruce Joseph Bordelon
• Aliases: Bruce Bordelon
• CRD: 1528656
• Location: Plano, Texas
• Current Employer: Ameriprise Financial Services, LLC
• Previous Firms: IDS Life Insurance Company
• Number of Known Customer Complaints: 1
• Can Bruce Bordelon Be Sued: Yes, in Private Arbitration
• Can Bruce Bordelon’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $53,788.13
• Highest Settlement: Unknown

If you have suffered investment losses by Bruce Bordelon, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Bruce Bordelon For Broker Misconduct

As of this publication date, Bruce Bordelon has been the subject of 1 customer dispute. Let’s review it below.

In April 2020, a complaint was filed against or in reference to Bruce Bordelon by a customer of Ameriprise Financial Services, LLC alleging that the RiverSource Variable Universal Life Insurance policies purchased in January 2019 were unsuitable. Per the customer, he/she lost over $53,788.13 because of Mr. Bordelon’s actions.

How To File A Claim Against Bruce Bordelon of Ameriprise Financial Services, LLC (previously with IDS Life Insurance Company) To Get Your Money Back

If you have questions about Bruce Bordelon, Ameriprise Financial Services, LLC, IDS Life Insurance Company, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Brian Dibrino?

Filed: January 16, 2024

Brian Dibrino has been the subject of one (1) termination event and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Brian Joseph Dibrino .

Who Is Brian Joseph Dibrino of American Portfolios Financial Services, Inc.?

• Advisor Name: Brian Joseph Dibrino
• Aliases: Brian Dibrino
• CRD: 2837066
• Location: Fairfield, New Jersey
• Current Employer: American Portfolios Financial Services, Inc.
• Previous Firms: First Allied Advisory Services, Inc., First Allied Securities, Inc., and SII Investments, Inc.
• Number of Known Customer Complaints: 2
• Number of Known Termination Events: 1
• Can Brian Dibrino Be Sued: Yes, in Private Arbitration
• Can Brian Dibrino’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $125,000
• Highest Settlement: $1,500

If you have suffered investment losses by Brian Dibrino, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Brian Dibrino For Broker Misconduct

As of this publication date, Brian Dibrino has been the subject of 1 termination event and 2 customer disputes. Let’s review them below.

In July 2020, a FINRA arbitration was filed against or in reference to Brian Dibrino by multiple customers of First Allied Securities, Inc. and SII Investments, Inc. alleging that Mr. Dibrino recommended alternative investments that were not suitable for the clients. Clients generally allege misrepresentation, unsuitable recommendations, breach of fiduciary duty, failure to supervise, breach of contract and negligence. Per the customers, they lost over $125,000 because of Mr. Dibrino ’s actions. On March 31, 2022, Mr. Dibrino settled the claim for $1,500, and some or all of this amount may have been paid by Mr. Dibrino ’s employer and/or insurance carrier.

In July 2016, First Allied Securities, Inc. terminated Brian Dibrino for failing to follow firm policy by permitting a non-registered assistant to reuse client signatures and working in concert with the same assistant to alter client signed documents.

In April 2012, a FINRA arbitration was filed against or in reference to Brian Dibrino by a customer of SII Investments, Inc. alleging that Mr. Dibrino failed to report market losses to the client beginning in 2008 and mismanaged the client’s account. Per the customer, he lost over $70,000 because of Mr. Dibrino ’s actions.

How To File A Claim Against Brian Dibrino of American Portfolios Financial Services, Inc. (previously with First Allied Advisory Services, Inc., First Allied Securities, Inc., and SII Investments, Inc.) To Get Your Money Back

If you have questions about Brian Dibrino, American Portfolios Financial Services, Inc., First Allied Advisory Services, Inc., First Allied Securities, Inc., SII Investments, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Carolyn Hemann?

Filed: January 17, 2024

Carolyn Hemann has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Carolyn Frances Hemann.

Who Is Carolyn Frances Hemann of Ameriprise Financial Services, LLC?

• Advisor Name: Carolyn Frances Hemann
• Aliases: Carolyn Hemann
• CRD: 1623885
• Location: Los Angeles, California
• Current Employer: Ameriprise Financial Services, LLC
• Previous Firms: IDS Financial Services Inc. and American Express Service Corporation
• Number of Known Customer Complaints: 4
• Can Carolyn Hemann Be Sued: Yes, in Private Arbitration
• Can Carolyn Hemann’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $140,000
• Highest Settlement: $25,000

If you have suffered investment losses by Carolyn Hemann, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a margin call liquidations lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Carolyn Hemann For Broker Misconduct

As of this publication date, Carolyn Hemann has been the subject of 4 customer disputes. Let’s review them below.

In March 2011, a complaint was filed against or in reference to Carolyn Hemann by a customer of Ameriprise Financial Services, LLC alleging that Ms. Hemann placed unauthorized transactions in the client’s variable universal life insurance sub accounts in December 2009. Per the customer, he/she lost over $33,607.76 because of Ms. Hemann’s actions. On June 29, 2011, Ms. Hemann settled the claim for $2,025.23, and some or all of this amount may have been paid by Ms. Hemann’s employer and/or insurance carrier.

In June 2010, a FINRA arbitration was filed against or in reference to Carolyn Hemann by multiple customers of Ameriprise Financial Services, LLC alleging that Ms. Hemann did not liquidate the clients’ holdings as they requested in May 2007. They further allege respondents did not diversify their accounts as instructed and purchased stock without their permission. The clients’ claims include fraud, negligence, breach of fiduciary duty, unauthorized trading, suitability, failure to supervise, and elder abuse. Per the customers, they lost over $100,000 because of Ms. Hemann’s actions. On August 18, 2011, Ms. Hemann settled the claim for $25,000, and some or all of this amount may have been paid by Ms. Hemann’s employer and/or insurance carrier.

In April 2009, a complaint was filed against or in reference to Carolyn Hemann by a customer of Ameriprise Financial Services, LLC alleging unauthorized trades in June 2007 and unsuitable recommendations in September 2008 resulted in losses. Per the customer, he/she lost over $140,000 because of Ms. Hemann’s actions.

In June 2004, a complaint was filed against or in reference to Carolyn Hemann by multiple customers of American Express Financial Advisors alleging that the clients’ accounts were set up incorrectly. They should have been set up as beneficial IRA’s which would have prevented the large tax liability they incurred. Per the customers, they lost over $5,000 because of Ms. Hemann’s actions.

How To File A Claim Against Carolyn Hemann of Ameriprise Financial Services, LLC (previously with IDS Financial Services Inc. and American Express Service Corporation) To Get Your Money Back

If you have questions about Carolyn Hemann, Ameriprise Financial Services, LLC, IDS Financial Services Inc., American Express Service Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Joseph McGuire?

Filed: January 16, 2024

Joseph McGuire has been the subject of one (1) criminal event and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Joseph Shawn McGuire.

Who Is Joseph Shawn McGuire of American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.?

• Advisor Name: Joseph Shawn McGuire
• Aliases: Joseph McGuire
• CRD: 4500913
• Location: Roswell, Georgia and Holbrook, New York
• Current Employer: American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.
• Previous Firms: FSC Securities Corporation and WM Financial Services, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Criminal Events: 1
• Can Joseph McGuire Be Sued: Yes, in Private Arbitration
• Can Joseph McGuire’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $55,000
• Highest Settlement: $5,000

If you have suffered investment losses by Joseph McGuire, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Joseph McGuire For Broker Misconduct

As of this publication date, Joseph McGuire has been the subject of 1 criminal event and 1 customer dispute. Let’s review them below.

In November 2020, a FINRA arbitration was filed against or in reference to Joseph McGuire by a customer of FSC Securities Corporation alleging that two alternative investments were unsuitable. Per the customer, he/she lost over $55,000 because of Mr. McGuire’s actions. On January 19, 2022, Mr. McGuire settled the claim for $5,000, and some or all of this amount may have been paid by Mr. McGuire ’s employer and/or insurance carrier.

In April 1994, felony charges were pressed against Mr. McGuire in Superior Court of Towns County, Hiawassee, GA.  Mr. McGuire received one count, felony, possession with intent to distribute controlled substance – marijuana, and plead guilty w/ first offender treatment.

How To File A Claim Against Joseph McGuire of American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (previously with FSC Securities Corporation and WM Financial Services, Inc.) To Get Your Money Back

If you have questions about Joseph McGuire, American Portfolios Financial Services, Inc., American Portfolios Advisors, Inc., FSC Securities Corporation, WM Financial Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Gary Forrest?

Filed: January 16, 2024

Gary Forrest has been the subject of two (2) regulatory events and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Gary Arthur Forrest.

Who Is Gary Arthur Forrest?

• Advisor Name: Gary Arthur Forrest
• Aliases: Gary Forrest
• CRD: 1313782
• Location: Flint, Michigan
• Current Employer: Currently Not Registered
• Previous Firms: American Portfolios Financial Services, Inc., Raymond James & Associates, Inc., and Roney & Co.
• Number of Known Customer Complaints: 2
• Number of Known Regulatory Events: 2
• Can Gary Forrest Be Sued: Yes, in Private Arbitration
• Can Gary Forrest’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $96,514.07

If you have suffered investment losses by Gary Forrest, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Gary Forrest For Broker Misconduct

As of this publication date, Gary Forrest has been the subject of 2 regulatory events and 2 customer disputes. Let’s review them below.

In April 2020, a FINRA arbitration was filed against or in reference to Gary Forrest by multiple customers of American Portfolios Financial Services, Inc. alleging violations of Federal Securities Laws, violation of Michigan Uniform Securities Act, violation of Michigan Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, and negligence. Per the customers, they lost over $300,000 because of Mr. Forrest’s actions. On April 9, 2021, Mr. Forrest settled the claim for $96,514.07, and some or all of this amount may have been paid by Mr. Forrest’s employer and/or insurance carrier.

In April 2019, FINRA initiated a regulatory action against or in reference to Gary Forrest for engaging in unapproved private securities transactions involving the sale of promissory notes.

In August 2018, a FINRA arbitration was filed against or in reference to Gary Forrest by a customer of American Portfolios Financial Services, Inc. alleging misrepresentation and unsuitable recommendation of fraudulent unregistered securities. Per the customer, he/she lost over $100,001 because of Mr. Forrest’s actions. On April 9, 2021, Mr. Forrest  settled the claim for $73,485.93, and some or all of this amount may have been paid by Mr. Forrest’s employer and/or insurance carrier.

In January 2018, Michigan initiated a regulatory action against or in reference to Gary Forrest for offering or selling twelve Woodbridge securities in the State of Michigan which were not federally covered, exempt from registration, or registered, in violation of section 301 of the Securities Act, MCL 451.2301.

How To File A Claim Against Gary Forrest (previously with American Portfolios Financial Services, Inc., Raymond James & Associates, Inc., and Roney & Co.) To Get Your Money Back

If you have questions about Gary Forrest, American Portfolios Financial Services, Inc., Raymond James & Associates, Inc., Roney & Co., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.