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Articles Tagged with variable annuities

Manu Patel (CRD#: 4119406), previously a registered broker, was permitted to resign from his position at PFS Investments Inc./Primerica Financial Services after allegedly submitting potentially unsuitable trades for four clients, according to his BrokerCheck record accessed on December 19, 2019. The investments at issue were variable annuities. Variable annuities are hybrid investments that contain features […]

William Foster (CRD#: 2096122), a registered representative with Ameriprise Financial Services, Inc. of Glendale, California, is currently involved a customer dispute over a variable annuity, according to his BrokerCheck report accessed on October 24, 2019. In a complaint filed on September 23, 2019, a client “alleged his advisor misrepresented the returns he could expect from […]

Larry Boggs (CRD#: 1874727), a registered representative with International Assets Advisory, LLC in Atlanta, Georgia, is currently involved in a pending customer dispute in which a client alleges that Larry Boggs made “unsuitable investment recommendations,” according to his BrokerCheck report accessed on October 22, 2019. The complaint also alleges “breach of contract, violation of Alabama […]

Rusty Tweed (CRD#: 2339324), a registered representative with Cabot Lodge Securities, LLC in San Marino, California who does business as Tweed Financial Services (CRD#: 159712) is currently involved in several customer disputes, including one in which a client alleges that Rusty Tweed misrepresented investments and recommended unsuitable investments, according to his BrokerCheck report accessed on […]

Leon Almeida (CRD#: 5645472), a registered representative with MML Investors Services, LLC in Paramus, New Jersey, is currently involved in a customer dispute. According to Leon Almeida’s BrokerCheck record accessed on September 24, 2019, a client alleges that Leon Almeida sold him a variable annuity but misrepresented it. The client, who filed the complaint on […]

Bernie Adair (CRD#: 1535429), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) of Jupiter, Florida, became involved in a customer dispute filed on July 15, 2019 in which a client alleges that the broker misrepresented the terms of a variable annuity, per his BrokerCheck record accessed on August 27, 2019. […]

Scott Andersen (CRD#: 4412679) is a registered representative with Wedbush Securities (CRD#: 877) who serves as Vice President, Investments at Wedbush Securities in Roseville, California. He is involved in a pending civil complaint for conversion and fraud filed on February 2, 2019, according to his BrokerCheck report accessed on August 12, 2019. This complaint was […]

Larry Peggs (CRD#: 1219721), currently a registered representative with Ameriprise Financial Services, Inc. in Seminole, Florida, is involved in a pending customer dispute regarding the dispersal of annuity death benefits. According to Peggs’ BrokerCheck report accessed on August 6, 2019, “the estate of a decedent and the decedent’s ex-wife, allege that AFSI, Peggs and several […]

John Moy (CRD# 848350), a Florida-based registered representative with Newbridge Securities Corporation (CRD#: 104065), has been fired for a second time, this time for violating policies at his firm at the time, National Securities Corporation, regarding variable annuity liquidations, according to his BrokerCheck record accessed on January 14, 2020. He is also currently involved in […]

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