Category: American Portfolios Financial Services

Did You Lose Money Because of Hillary Wertlieb?

Filed: November 15, 2023

Hillary Wertlieb 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 Hillary Joy Wertlieb.

Who Is Hillary Joy Wertlieb of American Portfolios Financial Services, Inc.?

• Advisor Name: Hillary Joy Wertlieb
• Aliases: Hillary Wertlieb
• CRD: 2239224
• Location: Lynbrook, New York
• Current Employer: American Portfolios Financial Services, Inc.
• Previous Firms: Cetera Advisors LLC, Investors Capital Corp., and Royal Alliance Associates, Inc.
• Number of Known Customer Complaints: 2
• Can Hillary Wertlieb Be Sued: Yes, in Private Arbitration
• Can Hillary Wertlieb’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: $12,500

If you have suffered investment losses by Hillary Wertlieb, 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 Hillary Wertlieb For Broker Misconduct

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

In April 2020, a FINRA arbitration was filed against or in reference to Hillary Wertlieb by a customer of Cetera Advisors LLC alleging breach of fiduciary duty, negligence, and breach of contract. On October 15, 2020, Ms. Wertlieb settled the claim for $12,500, and some or all of this amount may have been paid by Ms. Wertlieb’s employer and/or insurance carrier.

In May 2012, a complaint was filed against or in reference to Hillary Wertlieb by multiple customers of Investors Capital Corp alleging account losses based on the claim that they were told by their representatives not to liquidate their account in December 2009. Per the customers, they lost over $100,000 because of Ms. Wertlieb’s actions.

How To File A Claim Against Hillary Wertlieb of American Portfolios Financial Services, Inc. (previously with Cetera Advisors LLC, Investors Capital Corp., and Royal Alliance Associates, Inc.) To Get Your Money Back.

If you have questions about Hillary Wertlieb, American Portfolios Financial Services, Inc., Cetera Advisors LLC, Investors Capital Corp., Royal Alliance Associates, 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 Charles Darrow?

Filed: October 27, 2023

Charles Darrow has been the subject of one (1) termination 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 Charles Phillips Darrow.

Who Is Charles Phillips Darrow?

• Advisor Name: Charles Phillips Darrow
• Aliases: Charles P Darrow
• CRD: 2325527
• Location: Fayetteville, New York State
• Current Employer: Currently Not Registered
• Previous Firms: American Portfolios Financial Services, Inc., LPL Financial Corporation, and Lincoln Financial Advisors Corporation
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 1
• Can Charles Darrow Be Sued: Yes, in Private Arbitration
• Can Charles Darrow’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $175,000

If you have suffered investment losses by Charles Darrow, 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 Charles Darrow For Broker Misconduct

As of this publication date, Charles Darrow has been the subject of 1 termination event and 1 customer dispute. Let’s review them below.

In May 2019, a FINRA arbitration was filed against or in reference to Charles Darrow by a customer of American Portfolios Financial Services, Inc. alleging violations of FINRA Rules 2110 and 2111, misrepresentation and omissions of material facts, and breach of fiduciary duty. On September 18, 2020, Mr. Darrow settled the claim for $175,000, and some or all of this amount may have been paid by Mr. Darrow’s employer and/or insurance carrier.

In June 2009, LPL Financial terminated Charles Darrow for not following LPL policies and procedures relative to processing variable annuity transactions.

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

If you have questions about Charles Darrow, American Portfolios Financial Services, Inc., LPL Financial Corporation, Lincoln Financial Advisors 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.