Soreide Law Group is examining an investor dispute concerning securities broker Allyson William Trantum aka Allyson Jo Wilson (CRD#: 2896970, Temecula, California), as disclosed on FINRA BrokerCheck. Particularly, Trantum, who works for securities firm JW Cole Financial Inc. and investment advisory JW Cole Advisors Inc., is involved in an investor dispute about the surrender of an annuity. Additionally, her former employer LPL Financial LLC permitted her to resign. Read the following summary of disclosures as reported on BrokerCheck for more information on the allegations against this securities broker.
Evidently, a client of JW Cole Financial Inc. contested Allyson Trantum’s sales practices by bringing an investment dispute in March 2021. Supposedly, the client realized damages because of an annuity surrender. It appears that by surrendering the annuity, the client lost a lifetime income guarantee. Therefore, to settle this matter without admitting liability, the securities firm agreed to compensate the client in the amount of $400,000 in March 2022.
Also, BrokerCheck shows that Trantum worked as a securities broker and financial advisor with LPL Financial LLC. She commenced employment in 2016. But in 2018, the firm permitted her to resign after she allegedly violated policy. Supposedly, Trantum shared a client’s information without authorization.
Apparently, securities broker Allyson Trantum denies allegations against her. Have you experienced investment losses by interacting with this broker? You could reach out to Soreide Law Group at (888) 760-6552 so you can speak with experienced counsel concerning a possible recovery. Soreide Law Group takes clients’ cases on a contingency fee basis and advances all costs. The law firm has recovered significant compensation for US clients who have experienced losses from securities brokers or financial advisors.
In a recent article from Financial Advisor they state that the customers of Kestra have filed a complaint against the broker/dealer with the Financial Industry Regulatory Authority’s (FINRA) arbitration service. The article states that the customers allege that one of Kestra’s representatives led them to a volatile and unsuitable exchange-traded product. Additionally, they allege he […]
Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]
Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com