Tag Archives: Kerri Lynn Wasserman

SEC Bars Portfolio Advisors Alliance President For Fraud

December 07, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   Comments Off on SEC Bars Portfolio Advisors Alliance President For Fraud

Kerri Lynn Wasserman of New York New York a stockbroker and former President of Portfolio Advisors Alliance has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with any securities broker dealer or investment advisory according to an Order based on findings of Wasserman defrauding […]

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Portfolio Advisors Alliance Sued For Failure To Supervise

Kerri Lynn Wasserman of New York New York president of Portfolio Advisors Alliance LLC is referenced in a customer initiated investment related arbitration claim in which the customer sought unspecified damages founded on allegations that between July of 2013 and August of 2017: (1) inappropriate stock and over-the-counter equities trades were effected in the customer’s […]

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