Kerri Wasserman – Arbitration Claims Filed Against Financial Advisor Kerri Wasserman | Goodman & Nekvasil P.A., May Recover Losses
Kerri Wasserman CRD #2376090
Kerri Wasserman is currently licensed with Portfolio Advisors Alliance, LLC in New York. According to Kerri Wasserman’s CRD, two arbitration claims were filed alleging failure to supervise for events during the period July 2013 to August 2017 and/or July 2013 through December 2016. According to Kerri Wasserman’s CRD, both of these arbitration claims are pending, with one of these arbitration claims alleging damages of $99,300.56.
According to Kerri Wasserman’s CRD, on February 3, 2016, the SEC charged a Manhattan-based lending company (“Company”) and its owner with repeatedly lying to investors purchasing high-yield securities. The SEC also charged a brokerage firm (“Firm”) that acted as the placement agent and two of its executives. The SEC alleges that the Company and its owner promised investors 12-percent annual returns and falsely claimed its financial statements were being audited each year. The SEC alleges that the Company, which raises capital from investors to provide loans to businesses, also made misrepresentations in offering documents about its management and concealed details about deteriorating loan values that could imperil full payment of the promised returns to investors. The SEC alleges that the Firm, its owner, and its president Kerri Wasserman allegedly knew the offering documents were inaccurate yet continued using them to solicit sales of the Company’s securities. According to the SEC’s complaint filed in federal district court in Manhattan: The Firm’s owner informed Kerri Wasserman that the company’s offering documents contained false information, but Kerri Wasserman took no action and the Firm’s brokers continued using misleading documents to solicit investors.
If you lost any money on investments with Kerri Wasserman, you may be able to recover your losses. If you lost money on investments with Kerri Wasserman and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Kerri Wasserman’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Kerri Wasserman and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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