Customer Complaints Against Cambridge Investment Research
We are interested in speaking to customers who have complaints against Cambridge Investment Research. Our law firm has experience handing customer complaints related to non-traded REITs, business development corporations, variable annuities and investment fraud. If you or someone you know has a complaint against Cambridge Investment Research, please call us at 800-767-8040 for a free […]
Current and Former Wells Fargo Brokers with Significant Disclosure Histories
MDF Law releases a report identifying current and former associated persons from Wells Fargo Advisors who have significant disclosure histories. The report analyzed data as of January 3, 2023. Individuals who are included in this report are statistically more likely to be involved in a new customer complaint. See “How Widespread and Predictable is Stock […]
Fremont Broker AiRung Liu Involved in FINRA Arbitration Complaint
High Valley Financial Planning Services broker AiRung Liu (CRD# 4661602) is embroiled in a pending customer dispute. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 25, 2022, she is currently based in Fremont, California. High Valley Financial Planning Services offers securities through Securities America, according to the firm’s website. Customer […]
Former Crown Capital Advisor Ben Herritage Involved in Non-Traded REIT Dispute
Ben Herritage (CRD# 4027113) is involved in a pending customer complaint alleging various forms of misconduct connected to an REIT investment. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 21, 2021, Mr. Herritage is currently registered as a broker and an investment adviser with LPL Financial in Columbia, South […]
Avoid Being a Victim of Promissory Note Fraud
According to the North American Securities Administrators Association (NASAA,) promissory notes schemes are one of the most common sources of complaints by investors. Promissory notes are used by many large companies and high net worth investors to raise money and can offer high returns. However, the ones that are broadly marketed to individual investors very […]
Major Differences Between Warrants and Options: Know the Risks vs. Rewards
Although options and warrants might seem similar to each other, they have some important differences. Investors should understand the risks versus the rewards. In this article, we will discuss what is an option, what is a warrant, what their differences and similarities are, and what the pros and cons of each are. Investors should understand […]
1035 Exchanges: Should You Switch Variable Annuities?
Section 1035 of the Internal Revenue Code is a provision that allows the tax free exchange of some types of financial instruments for another one of like kind. This allows owners of poorly performing annuities to transfer funds to a product with better performance and more features without tax consequences. Annuity companies are always looking […]
401(k) Rollovers: How to Move Your Retirement Account without Getting Burned
A recent study estimated that American workers will have left almost $1.35 trillion behind in retirement accounts after changing jobs. And these aren’t always small balances, either—the researchers estimated the average forgotten account at around $55,000. When you leave a job, you often have the option of leaving your retirement account where it is. However, […]
Buying and Selling Options without Getting Burned
From puts and calls to iron condors and butterflies, options strategies can be highly complex and the losses unlimited. Options trading is a hot topic these days, with some young traders making a killing on options on GameStop, AMC and other popular stocks. People are seeing that fast money can money can be made this […]
Seven Things Everyone Should Know About Annuities
Annuities are complex investments that may not be right for every investor, here are seven things everyone should know about them.