Articles Tagged with lincoln financial securities

AdobeStock_199789587-300x200Stoltmann Law Offices has learned that Dee Dee Brooks, a former Signator Investors registered investment advisor has resigned from the firm because of her alleged involvement with the sale of unregistered securities. Brooks was one of Woodbridge Group of Companies’s agents, and Woodbridge operated a billion dollar ponzi scheme that defrauded over 8,000 investors. Dee Dee Brooks also operated an insurance company called Surf City Insurance Services which may have been used to conceal investments. Signator Investors may have failed in its duty to reasonably supervise Ms. Brooks, and, because it did, may be liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum.
Ms. Brooks was previously registered with Lincoln Financial Securities Corp in Huntington Beach, California from August 2003 until April 2009, Signator Investors in Irvine, California from July 2015 until July 2015, SCF Securities in Huntington Beach from April 2009 until July 2015, and Signator Investors in Huntington Beach from July 2015 until June 2018. She is not currently registered as a broker, according to her online, FINRA BrokerCheck report.

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Jeffrey Scheibner exchanged 303 mutual fund positions into corresponding money markets funds on behalf of 27 customers over 36 accounts. He allegedly did this without the prior authorization of the customers, and he did not have written discretionary authority over their accounts. This is against securities rules and regulations. For this, he was suspended for three months and fined $5,000, according to his AWC. He was previously registered with Lincoln Financial Securities in Ladera Ranch, California from October 1994 until August 2012, Capital Synergy Partners in Ladera Ranch from August 2012 until September 2014 and Accelerated Capital Group in Irvine, California from September 2014 until August 2016. He is currently registered with Capital Synergy Partners in Newport Beach, California. He has two criminal dispositions against him. Please call our securities law offices in Chicago, Illinois today to find out how to bring a claim against Capital Synergy Partners if you suffered losses with Jeffrey Scheibner. The call is free with no obligation. We take cases on a contingency fee basis so we only make money if you recover your losses.

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