Did you lose money with Trustmont Financial Group? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your losses. Trustmont is a Pennsylvania-based securities brokerage firm and the Financial Industry Regulatory Authority (FINRA) recently brought a regulatory action against it. FINRA accused the firm of failing to retain business-related emails, failing to inspect and register branch offices, failing to supervise its representatives’ use of consolidated reports, failing to supervise the content of a representative’s radio program and failing to properly supervise unit investment trust (UIT) transactions. Trustmont Financial Group agreed to pay a $100,000 fine for these transgressions.
Recently, the Securities and Exchange Commission (SEC) filed a complaint against one of Trustmont’s brokers, Peter Kohli. The SEC alleged that Kohli engaged in securities fraud related to his mutual fund, the DMS Funds. If you suffered losses with Peter Kohli, please call our securities law firm today to speak to an attorney about how you may be able to sue Trustmont Financial Group. Or, if you invested money with the firm, you may be able to bring a claim against it. By calling our Chicago-based securities law firm at 312-332-4200, you will be able to speak to an attorney about your options. Please call today.
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