Securities Lawyers Blog
Previously financial advisor Marcelo Poliak (Poliak), previously employed by brokerage firm Jefferies LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.
FINRA BrokerCheck shows a settled customer complaint on September 08, 2020.
Former client alleges that his investment in a hedge fund did not meet his expressed investment objective and that, when the hedge fund’s performance began to falter, he was talked out of liquidating.