2025

David Lerner Associates Complaints For Energy 11 & 12

Energy 11 & 12: Loss Recovery Options

Investors have recently filed numerous claims with The Financial Industry Regulatory Authority (FINRA) against brokerage firm David Lerner Associates alleging unsuitable concentration in proprietary products invested in non-traded oil & gas investments. The investigation focuses on questionable sales practices and supervisory responsibilities regarding risk-averse customers, particularly retirees who were seeking safe, income-producing investments for their […]

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“John Woo of Transamerica Financial Faces Customer Dispute Over Lapsed Insurance Coverage”

John Woo, a broker and investment advisor associated with Transamerica Financial Advisors, Inc. (CRD 16164) in California, is facing a pending customer dispute filed on February 7, 2024. The claimant alleges that Woo failed to assist the client and her deceased spouse with making premium payments, resulting in the lapse of their variable universal life

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Derek Taller Faces SEC Charges In Investment Fraud Case

The Securities and Exchange Commission has recently filed charges against Derek Taller, a former New York investment adviser. The SEC alleges that Taller committed fraud through two companies: Vision BioBanc Holdings LLC and StHealth Capital Investment Corporation. Our investigation reveals that Taller allegedly provided misleading documents to investors, falsely claiming Vision Holdings had proper board

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Alexis Crespo Perez of Oriental Financial Faces Allegations from Senior Investors

Alexis Crespo Perez, a broker and investment advisor associated with Oriental Financial Services LLC, is facing serious allegations from senior investors who claim to have lost their lifetime savings due to unsuitable investment recommendations, overconcentration, and misrepresentations made by the advisor. The case, filed on February 7, 2024, is currently pending resolution, with the claimants

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