Tag Archives: Ameritas Investment Corporation

Regulators Bar Ameritas Stockbroker For Customer Loans

September 13, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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. […]

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REITs Not Right For Ameritas Investors

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 […]

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Ameritas Investment Corp Stockbroker Named in Unsuitability Arbitration Claim

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. […]

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Ameritas Investment Corporation Stockbroker Barred in Investigation

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 […]

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