Brokers should be required to live up to their TV ads

Published by The HILL by Joe Peiffer 03/27/15 10:00 AM EDT — The “fiduciary duty” of financial professionals sounds like some hopelessly dry and technical legal concept. But it isn’t. When I hear that phrase, I think about the New York retiree who lost 75 percent of the life savings he entrusted to a disreputable… Read more »

Philly real estate investor Nicholas Schorsch, his former CFO and company settle with SEC for more than $60M

Published by The Philadelphia Inquirer by Erin Arvedlund Updated: July 16, 2019- 4:36 PM — The Securities and Exchange Commission on Tuesday settled with AR Capital, its founder Nicholas S. Schorsch, and former CFO Brian Block for more than $60 million to resolve charges ranging from defrauding investors to falsifying records. The SEC charged Jenkintown… Read more »

William Ellis Lawsuit

Joseph William Ellis aka William Ellis is a Georgia broker. William Ellis is currently registered with Ameriprise Financial Services in LaGrange, Georgia. Additionally, William Ellis works with Robert Ellis at Ellis and Ellis Investment Management in the LaGrange, Georgia. William Ellis was previously registered with 3 additional firms for various periods of time: Commonwealth Financial… Read more »

Gilbert Briseno Investigation

Gilbert Briseno Investigation | Gilbert Briseno Broker Misconduct Gilberto Briseno aka Gilbert Briseno is a Louisiana broker. Gilbert Briseno is currently registered with Arkadios Capital in Boutte, Louisiana. Additionally, Briseno is affiliated with Briseno Financial Services and Peak Retirement Group in the Greater New Orleans area. Briseno was previously registered with 6 additional firms for… Read more »

AXA Advisors Lawsuits | Variable Annuities & Life Insurance Products

AXA Advisors Lawsuits | Variable Annuities & Life Insurance Products If you have Variable Annuities or Life Insurance products in your investment portfolio, contact the securities attorneys at Peiffer Wolf Carr & Kane, APLC. Based on our experience, we believe that there are more investors who have suffered losses as a result of AXA and… Read more »

Frank Briseno Lawsuit

Who Is Frank Briseno? | Frank Briseno Lawsuit Frank Briseno III is a Metairie, Louisiana broker. Frank Briseno III of Nettworth Financial is currently registered with FSC Securities Corporation and was previously registered with 5 additional firms for short periods of time: Intersecurities, Dean Witter Reynolds, Intersecurities, PW Securities, and Dean Witter Reynolds. Briseno currently… Read more »

Future Income Payments Lawsuit Securities Fraud

Future Income Payments Lawsuit Securities Fraud If you invested in Future Income Payments (“FIP”), the securities attorneys at Peiffer Wolf Carr & Kane, APLC may be able to help you recover any losses. If you were advised to invest in FIP, we are investigating claims against the sales agents that sold and/or recommended FIP “investments…. Read more »

OptionSellers and INTL FC Stone Lawsuit and INTL FC Stone Lawsuit Investment Loss Recovery Center: If you lost money due to’s risky trading strategies, the securities attorneys at Peiffer Wolf Carr & Kane will FIGHT to help you recover your losses. If you are an investor who invested in their natural gas plan, we are actively investigating… Read more »


Investigation into GPB Capital Holdings Investors were pitched attractive returns offered GPB and the broker-dealers who sold the GPB Funds. Brokers, however, were motived by the 8% commission for selling GPB funds. It now appears as if brokers received more than $100 million in commissions. According to its website, “GPB Capital is a New York-based… Read more »

Kristian Gaudet Lawsuit | Broker Misconduct

Who Is Kristian Gaudet? | Kristian Gaudet Lawsuit Kristian Gaudet was a Cut Off, Louisiana stockbroker. Gaudet was formerly registered with Ameritas Investment Corp, but he was recently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity. According to FINRA’s BrokerCheck website for Public Disclosures, “Gaudet consented to the sanction and… Read more »