Tag Archives: New England Securities

New England Securities Accused Of Annuity Fraud

December 22, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   Comments Off on New England Securities Accused Of Annuity Fraud

Charles Jonathan Evan of Wellesley Massachusetts a stockbroker formerly registered with New England Securities and MML Investors Services is the subject of a customer initiated investment related written complaint on September 4, 2020 in which the customer requested unspecified damages supported by allegations that the customer had been provided with misrepresented information in regards to […]

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Investors Bring Claims Against New England Securities For Misrepresentation

September 14, 2020  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Investors Bring Claims Against New England Securities For Misrepresentation

Bernard Joseph Audet of Newtown Square Pennsylvania a stockbroker registered with MML Investors Services and New England Securities is referenced in a customer initiated investment related civil action that was resolved for $8,000,000.00 in damages founded on allegations that a fiduciary duty that was owed to the customer had been breached by the stockbroker and […]

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Investors Sue New England Securities For Annuity Fraud

Brian Charles McGeehan of Newtown Square Pennsylvania a stockbroker formerly employed by New England Securities is the subject of a customer initiated investment related written complaint on June 4, 2018 where the customer requested damages estimated to exceed $5,000.00 based upon allegations that McGeehan made unsuitable investment recommendations to the customer concerning a variable life […]

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New England Securities Sued For Misrepresentation

July 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Bernard Joseph Audet, of Newtown Square, Pennsylvania, a registered representative formerly associated with New England Securities, has been named in a customer initiated investment related civil action on April 12, 2017, based upon allegations that he breached his fiduciary duties to the customer and made misrepresentations concerning insurance products. Financial Industry Regulatory Authority (FINRA) Public […]

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Ameritas Sued By Customer For Misrepresentation

Robert Michael Gianchiglia, of Worcester, Massachusetts, a stockbroker formerly registered with Ameritas Investment Corp., has been named in a customer initiated investment related arbitration claim on March 28, 2017, wherein the customer requested $225,000.00 in damages based upon allegations that Gianchiglia effected unauthorized trades in the customer’s account, made misrepresentations to the customer, breached his […]

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New England Securities Stockbroker Suspended For Unsuitable Recommendations

Robert P. Lappin, of Las Vegas, Nevada, a stockbroker formerly associated with New England Securities, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he made unsuitable recommendations to customers regarding unit investment trusts. Letter of Acceptance, Waiver and Consent, No. […]

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New England Securities Broker Banned for Sale of Fake Investments

James Paul Kolf, of Middleton, Wisconsin, a stockbroker with New England Securities, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he made fraudulent misrepresentations to customers. Letter of Acceptance, Waiver and Consent, No. 2016050940701 (Sept. 6, 2016). According to the AWC, from October […]

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New England Securities Stockbroker Suspended for Customer Loans

John Charles Kautter of Bethesda, Maryland, a registered representative with New England Securities, was suspended for two months from association with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities in connection with an Order Accepting Offer of Settlement containing findings that he had facilitated an unapproved loan transaction. Department of Enforcement […]

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