Stoltmann Law Offices is investigating Sara Ng, a former broker with Financial West Group in Oak Brook, Illinois. According to her Financial Industry Regulatory Authority (FINRA) online, public BrokerCheck report, she was registered with IDS Life Insurance Company in Minneapolis, Minnesota from February 1996 until July 1997, American Express Financial Advisors in Minneapolis from February 1996 until July 1997, Dean Witter Reynolds Inc. in Purchase, New York from July 1997 until November 1999, Gruntal & Co. in New York, New York from October 1999 until December 2000, Wachovia Securities in St. Louis, Missouri from December 2000 until November 2002, Berthel, Fisher & Co. Financial Services in Oakbrook, Illinois from November 2002 until March 2014 and Financial West Group in Oak Brook from February 2014 until November 2015. She is currently registered with Axiom Capital Management in Oak Brook and has been since October 2015. She has two customer disputes against her. It is possible that Ng has invested large sums of money for investors in products such as real estate investment trusts (REITs) and oil and gas products. Please call us today if you or someone you know was recommended investments by Ng in Magnum Hunter. We may be able to help you recover your losses in Magnum Hunter investments suffered with Sara Ng. The call to us is free with no obligation. For more information please see video below.
Stoltmann Law Offices is investigating Robyn Lee, a former registered representative with Independent Financial Group. Ms. Lee is not currently licensed to act as a broker or investment advisor. Ms. Lee was accused of misrepresenting and omitting material facts, breaching fiduciary duty and recommending unsuitable tenant-in-common (TIC) investments, among other transgressions. TICs are the co-owners of an undivided interest in real property. TICs each own a separate and undivided interest in the same real property and each has an equal right to the possession and use of the property. TIC investments can be risky ones. A broker’s duty is to only recommend investments that are suitable for her clients. She must take into account their age, net worth, portfolio, investment sophistication and investment objectives. If she does not, her firm can be held liable for investment losses, because they have a duty to reasonably supervise her while she is employed there.
Robyn Lee was registered with McClurg Capital Corporation in San Rafael, California from April 1997 until December 1998, Capital Brokerage Corporation in Richmond, Virginia from March 1997 until October 1999, Passport Securities in Burlingame, California from October 1999 until March 2000, Securities America in Lavista, Nebraska from March 2000 until March 2002, EPlanning Securities in Roseville, California from March 2002 until January 2004, Berthel, Fisher & Co. Financial Services in Burlingame from January 2004 until May 2007 and Independent Financial Grop in San Mateo, California from May 2007 until June 2015. She has 11 customer disputes against her, two of which are currently pending. She is not licensed within the industry.
If you or someone you know invested and lost money with Robyn Lee, you may be able to sue her former firm, Independent, for financial losses. Please call our securities law firm to find out how we can help you bring a claim against them. The call is free with no obligation.