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Articles Tagged with REITs

Erik Drewes (CRD#: 2187363), a registered representative with American Capital Partners LLC (CRD#: 119249) in Jacksonville, Florida, is currently involved in a customer dispute over a Real Estate Investment Trust (REIT), according to his BrokerCheck record accessed on May 14, 2020. Read on to learn more about REITs and what led to this customer complaint […]

Anthony Sica (CRD#: 1332626), a registered representative with Joseph Gunnar & Co. LLC (CRD#: 24795) in New York, New York, is currently involved in a dispute in which a customer alleges that he recommended unsuitable investments. The client is seeking $750,000 in damages and the matter is pending, according to Anthony Sica’s BrokerCheck record accessed […]

James Chang (CRD#: 4536266), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Rockville, Maryland who does business as Upright Planning, is currently involved in a customer dispute over unsuitable investment products, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a customer filed a complaint against James […]

Gen Mar (CRD#: 2744037), a registered representative with Berthel, Fisher & Company Financial Services, Inc. (CRD#: 13609) in Northbrook, Illinois, is currently involved in two pending customer disputes in which clients are requesting over $1.5 million damages, according to his BrokerCheck record accessed on March 3, 2020. On May 1, 2019, clients filed a customer […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Gary Barth (CRD#: 2466996), a registered representative with Ameritas Investment Corp. (CRD#: 14869) in Kearney, Nebraska, is currently involved in a pending customer dispute in which clients are seeking $600,000 in damages, according to his BrokerCheck record accessed on January 16, 2020. The clients allege that Gary Barth misrepresented the nature of investments when selling […]

Mercer Hicks (CRD#: 245170), a registered representative with Southeast Investments, N.C., Inc., has found himself the subject of a Financial Industry Regulatory Authority (FINRA) complaint over Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 14, 2020. According to a December 20, 2019 complaint, FINRA is alleging that Mercer Hicks duped […]

JoePat Roop (CRD#: 2774470), a registered representative with Dempsey Lord Smith, LLC (CRD#: 141238) in Belmont, North Carolina, is currently involved in a customer dispute in which a client alleges that he recommended unsuitable alternative investments, including Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 3, 2020. The activity in […]

Marty Batstone (CRD#: 2171601), formerly a registered representative with Newbridge Securities Corporation (CRD#: 104065) in San Diego, California, is currently under investigation by FINRA. On August 16, 2019, the Financial Industry Regulatory Authority, recommended that disciplinary action be brought against him. FINRA alleges that Marty Batstone violated FINRA Rules 2150 and 2010 by allegedly stealing […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

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