Firm Investigations Archives - Securities & Investment Lawyer

SEC Fines RiverSource Distributors $5 Million for Ameriprise Variable Annuity Exchanges

Jun 7, 2022 Firm Investigations

The SEC fined RiverSource Distributors $5 million following a complaint that RiverSource Distributors violated Section 11 of the Investment Company Act when they allowed their […]

Investors: Did You Lose Money with an NYLife Securities Broker?

Apr 29, 2022 Current Investigations

NYLife Securities (CRD#: 5167) has a pattern of hiring brokers who have disciplinary actions and investor disputes on their records. The New York City-based brokerage […]

Did Your R.F. Lafferty & Co. Broker Recommend GWG Holdings L Bonds?

Apr 6, 2022 Firm Investigations

Kurta Law is interested in speaking to clients of R.F. Lafferty & Co. who purchased L Bonds issued by GWG Holdings. GWG Holdings has halted […]

Firm Investigations

SEC Fines RiverSource Distributors $5 Million for Ameriprise Variable Annuity Exchanges

Investors: Did You Lose Money with an NYLife Securities Broker?

Did Your R.F. Lafferty & Co. Broker Recommend GWG Holdings L Bonds?

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