Articles Tagged with RIBCX

Stoltmann Law Offices is interested in speaking to those investors who may have invested financially with Christopher Hermann, who was most recently registered as a broker with Key Investment Services in Greenwood, Indiana. Hermann was alleged by customers and former customers to have engaged in misrepresentation in the switching of $50,000 from Victory Diversified Stock Fund Class A to Putnam Capital Spectrum Fund Class A. He was also terminated from his position at Key after the firm received a complaint saying that he “identified transactions that were processed outside of the firm’s switch disclosure policy.” He also “recommended the sale of two fixed annuity contracts instead of a 1035 exchange in facilitating the purchase of a $450,000 variable annuity contract.” Hermann was also accused of misrepresenting the risk of an investment in RIBCX, misrepresenting material facts and recommending unsuitable mutual fund investments. He also allegedly breached fiduciary duty and recommended an unsuitable mutual fund. Please call our securities law office in Chicago to speak to an attorney about your options if you invested money with Christopher Hermann. We may be able to sue his former firm, Key Investment Services, in the FINRA arbitration forum for not properly supervising him while he was employed there.

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