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Broker Ellen Friedman: TIC Complaint

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Independent Financial broker Ellen Friedman, also known as Ellen Kaplan and Ellen Simon (CRD# 424527).

Ellen Friedman has spent 39 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California since 2013. Previous registrations include GB Investment Securities in Los Angeles, California (2009-2011); AFA Financial Group in Calabasas, California (2005-2009); Financial West Group in Westlake Village, California (2004-2005); Planmember Securities Corporation in Carpinteria, California (2003-2004); Schoff & Baxter in Burlington, Iowa (2001-2003); Sutro & Company in San Francisco, California (2000-2001); Round Hill Securities in Alamo, California (1999-2000); Bear Stearns & Company in New York, New York (1976-1999); and Shearson Hayden Stone (1974-1975). She is a registered broker in California.

According to her BrokerCheck report, Ellen Friedman is the subject of one pending customer complaint and one closed customer complaint.

In 2010 a customer alleged Ellen Friedman, while employed at AFA Financial Group, breached her fiduciary duty, breached contract, acted negligently, committed fraud, and failed to conduct adequate due diligence in connection to private placement tenant-in-common interests. The customer is seeking $400,000 in damages in the pending complaint.

In 2010 a customer alleged Ellen Friedman, while employed at AFA Financial Group, misrepresented material facts reshutterstock_101843953lated to an investment, breached contract, breached her fiduciary duty, acted negligently, and committed fraud. The customer sought $5,120,000 in damages in the complaint, which was closed with no action taken.

If you have suffered losses while investing with Ellen Friedman, also known as and Ellen Simon, you may be entitled to a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.