FINRA. - Israels & Neuman, PLC

Investigation of BRIAN REILLY of MML Investors

Israels & Neuman, PLC — Wed, 13 Oct 2021 19:38:03 GMT

WARREN, NEW JERSEY Have you lost money with financial advisor Brian Reilly, with formerly MML Investors Services in Warren, New Jersey? We are looking into allegations made against Brian E. Reilly. Reilly has been the subject of an internal investigation by MML Investors Services. Reilly was allowed to resign by MML Investors Services after he allegedly failed to provide true and non-misleading information during an internal review.

Brian Reilly was with MML Investors Services from January 2020 to September 2021. He was also with Pruco Securities from February 2019 to December 2019 and with Morgan Stanley from December 2015 to July 2017. He has worked at branch offices in Warren, New Jersey.

Brokerage firms like MML Investors Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click to view Brian Reilly BrokerCheck Report

If you lost money with Brian Reilly or MML Investors Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Investment Losses with JEFFREY BASFORD of David Lerner Assoc.

Israels & Neuman, PLC — Mon, 11 Oct 2021 17:48:48 GMT

WESTPORT, CONNECTICUT Have you lost money with financial advisor Jeffrey Basford, with David Lerner Associates in Westport, Connecticut? We are looking into allegations made against Jeffrey D. Basford. Basford has been the subject of two customer complaints, both of which were made within the last year. The complaints allege losses in Energy 11 and Energy 12, which are oil and gas investments.

Jeffrey Basford has been with David Lerner Associates from 2006 to the present. He has worked at branch offices in Westport, Connecticut.

Brokerage firms like David Lerner Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against David Lerner Associates.

Click to view Basford BrokerCheck Report

If you lost money with Jeffrey Basford, David Lerner Associates, Energy 11, or Energy 12, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

Complaints Against LANNY HOWARTER of Crown Capital

Israels & Neuman, PLC — Tue, 05 Oct 2021 18:51:54 GMT

SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts), BDCs (business development companies), and private placements.

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown Capital Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

If you lost money with Lanny Howarter or Crown Capital Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.