Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Marc David Drew [CRD: 4659088, Salt Lake City, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Drew joined Equitable Advisors LLC on April 9, 2012. Here’s an overview of the securities broker’s disclosures.
Specifically, on November 21, 2023, an Equitable Advisors LLC client filed FINRA Arbitration No. 23-03300 about Marc Drew. Supposedly, Drew made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Because of this, the client requested damages in compensation from Equitable Advisors LLC or Drew. Currently, this arbitration is unresolved.
Evidently, a client of AXA Advisors LLC contested Marc Drew’s sales practices, according to a complaint dated September 10, 2013. Allegedly, Drew made misrepresentations and made unsuitable recommendations. It appears that Drew allegedly caused the client to sustain damages on life insurance products. For this reason, the client sought damages from AXA Advisors LLC or Drew in this matter. However, the securities firm denied this dispute.
Have you experienced losses because of Marc Drew? If you have, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group helps investors throughout the country, works on a contingency fee basis, and advances all costs. Drew and brokerage firms Drew worked for deny accusations of sales practice violations.
What investors should know about leveraged tax-loss harvesting, short positions, fees, and suitability. Tax-aware long-short investing can be presented as a sophisticated way to generate capital losses and reduce current taxes. But it is not merely a tax-planning overlay. It is an active, leveraged investment strategy that can produce substantial economic losses, high carrying costs, […]
Investors may have suffered financial harm by securities broker David Andrew Kangas [CRD: 6591398, Richmond, Virginia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kangas has worked for WealthForge Securities LLC since November 1, 2019. Keep reading to find out more about Kangas’s disclosures. WealthForge Investor Accused Kangas Of Breach Of […]
Financial Industry Regulatory Authority initiated a complaint against securities broker Keith Charles Moore [CRD: 5191450, Irvine, California], based on public information on BrokerCheck. Moore worked for Sutter Securities Clearing LLC from August 24, 2017, to February 16, 2024, and Sutter Securities Incorporated from April 17, 2019, to February 16, 2024. Continue reading to learn more […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com