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.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
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