Close Menu
Free Consultation: 888-976-6111

Ann Vanderslice: $250K Complaint Against Federal Benefits Rep

Ann Vanderslice (CRD# 5057784), a broker based in Lakewood, Colorado, has received an investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that she is a representative of Federal Benefits Made Simple, an E.A. Buck Company, which offers securities through Madison Avenue Securities. 

Ms. Vanderslice’s BrokerCheck report discloses two pending investor complaints. The most recent, filed in July 2022, alleges that as a representative of Cabot Lodge Securities, she unsuitably recommended investments in GWG L bonds and annuity products. The pending complaint alleges damages of $295,000.

A second investor complaint, filed in February 2022, the complaint alleges that as a representative of Cabot Lodge Securities, she recommended an unsuitable investment in a GWG L Bond and failed to perform adequate due diligence on new offerings. The pending complaint alleges damages of $250,000.

In a statement included in the February 2022 complaint’s disclosure on her BrokerCheck report, Ms. Vanderslice denies the allegations. “[T]he recommendation was suitable for the client at the time the recommendation was made including based on her overall suitability profile and previous purchase and profitable liquidation of the same instrument about which she now complains,” she stated further.

In April 2009 Ms. Vanderslice was permitted to resign from Securities America, according to another disclosure on her BrokerCheck report. The disclosure states that her resignation related to alleged failures to follow firm policy “relating to signature use and the supervision of office staff.”

According to the Financial Industry Regulatory Authority, Ann Vanderslice holds 16 years of securities industry experience. She is a representative of Federal Benefits Made Simple, an E.A. Buck Company, which offers securities through Madison Avenue Securities. She has been affiliated with Madison Avenue Securities in Lakewood and Colorado Springs, Colorado since 2021. Her past registrations include Cabot Lodge Securities (Denver, Colorado; 2013-2021), Allied Beacon Partners (Denver, Colorado; 2010-2013), Titan Securities (Denver, Colorado; 2011-2012), Community Bankers Securities (Lakewood, Colorado; 2009), Securities America (Lakewood, Colorado; 2008-2009), and Linsco/Private Ledger Corp. (Highlands Ranch, Colorado; 2006). her credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. She presently holds 35 state licenses. (Information current as of August 24, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jaime Rios: Regulators Censure, Finr Money Concepts Advisor

    Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations....

    Read More
  • Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor

    Boca Raton financial advisor Franz Koch (CRD# 4467954) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry...

    Read More
  • Brian Shevland: FINRA Suspends Bluestone Capital Advisor

    Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry...

    Read More
  • Jorge Menendez: $800K Complaint Against Citi Advisor

    Miami financial advisor Jorge Menendez (CRD# 5138358) recently received an investor complaint alleging that his conduct resulted in six-figure damages....

    Read More
  • Previous
  • Next