Investors potentially experienced sales practice violations by securities broker Ann Louise Werts (also known as Ann Louise Gilmore, Ann Louise Howard, and Ann Louise Vanderslice) [CRD: 5057784, Denver, Colorado], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Werts worked for Cabot Lodge Securities LLC from July 12, 2013, to April 13, 2021, and later for Madison Avenue Securities LLC from April 6, 2021, to April 1, 2024. Investors should review the following information to discover more about the disclosures associated with Werts’ professional history.
Evidently, a Cabot Lodge Securities LLC client filed FINRA Arbitration No. 22-01460 regarding Ann Werts. Primarily, the client alleged that Werts breached her fiduciary duty, violated FINRA rules, breached a contract, and violated federal securities laws, including Regulation Best Interest, in connection with investments. Because of this, the client allegedly incurred damages related to promissory notes. Therefore, the client requested $1,110,000 in compensation from Cabot Lodge Securities LLC or Werts. It appears that this arbitration settled for damages totaling $600,000 on September 11, 2024.
Particularly, a Cabot Lodge Securities LLC client filed FINRA Arbitration No. 22-02512 about Ann Werts. Mainly, the client alleged that Werts made misrepresentations, breached her fiduciary duty, was negligent, breached a contract, and failed to supervise in connection with the purchase of GWG L Bonds during 2020. For this reason, the client allegedly sustained damages related to private placement investments. As a result, on October 17, 2023, Cabot Lodge Securities LLC settled this matter by paying the client $16,500 in damages.
Specifically, a client of Cabot Lodge Securities LLC contested Werts’ sales practices by filing FINRA Arbitration No. 23-00402. Allegedly, Werts breached her fiduciary duty, made misrepresentations and omissions, was negligent, breached a contract, and failed to supervise concerning the purchase of GWG L Bonds during 2020. It appears that Werts caused the client to sustain damages. Consequently, Cabot Lodge Securities LLC opted to settle the matter on November 19, 2023, by compensating the client in the amount of $17,500.
Do you need clarification on any investment losses relating to Ann Werts? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Werts and brokerage firms Werts worked for deny accusations of sales practice violations.
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