August 2016- Lincoln, NE
The FINRA records of Larry D. Freie , a stock broker who is currently employed by Ameritas Investment Corp. disclose a prior customer dispute and one currently pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the currently pending matter a customer of Freie’s prior employer, Sunset Financial Services, alleges that he was misled related to direct investments that he purchased for $190,000. No specific damages are pleaded.
In the prior matter, FINRA Case 13-0079, a customer of Sunset Financial Services alleged damages of $275,907 and that the firm through Freie misrepresented and recommended unsuitable investments in real estate securities. That case was settled for $107,500.
Freie has been employed by Ameritas Investment Corp. since 2/2014. He was employed by Sunset Financial Services from 1/2007-3/2014.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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