Robert Michael Gianchiglia of Worcester, Massachusetts, a stockbroker registered with Ameritas Investment Corp., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled to resolve allegations that Gianchiglia made misrepresentations of material fact in connection with the recommendation and sale of private placements when Gianchiglia was associated with Ameritas…
James F. Anderson of Dakota Dunes, South Dakota, a stockbroker registered with Ameritas Investment Corp., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $1,600,000.00 in damages based upon allegations that Anderson failed to supervise certain registered representatives and made misrepresentations of material fact in connection with…
Tobin Carl Hoffmann of Lincoln, Nebraska, a stockbroker registered with Ameritas Investment Company LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $250,000.00 in damages based upon allegations that Hoffmann made misrepresentations with regard to the recommendation and sale of alternative…
Ivar Norman Jones Jr., of San Ramon, California, a stockbroker registered with Ameritas Investment Company LLC, is the subject of a customer initiated investment related complaint that was settled on June 1, 2022 for $28,000.00 in damages based upon allegations that Jones committed sales practice violations relating to the recommendation of a outside third-party account…
Thomas H. Lawrence III of Chapel Hill Tennessee a stockbroker formerly registered with Ameritas Investment Corp. is the subject of an Order issued by Tennessee Securities Division which barred him from being a stockbroker or an investment advisor in the State of Tennessee based on accusations that he borrowed money from an Ameritas Investment Corp….
Michael Scott Arteca of Matawan New Jersey a stockbroker formerly employed by Ameritas Investment Corp is referenced in a customer initiated investment related arbitration claim in which the customer sought $200,000.00 in damages founded on allegations that real estate investment trusts were misrepresented to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01328 (May…
Larry D. Freie, of Lincoln, Nebraska, a stockbroker with Ameritas Investment Corporation, is subject to a pending customer dispute from March 9, 2015, in which a customer alleged that Freie made unsuitable investment recommendations to the customer. This is not the first time that Freie has been subject to a customer dispute regarding unsuitable recommendations….
Heon Kim, a Stockbroker with Ameritas Investment Corporation, was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to FINRA findings that he failed to cooperate in an FINRA investigation into allegations that Kim had engaged a non-licensed individual to solicit and sell variable products…