{"id":1363,"date":"2013-12-26T13:25:22","date_gmt":"2013-12-26T13:25:22","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/12\/broker_to_the_stars_broker_bam"},"modified":"2022-03-11T08:55:00","modified_gmt":"2022-03-11T14:55:00","slug":"broker-to-the-stars-broker-bam","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/","title":{"rendered":"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA"},"content":{"rendered":"<p>\t\t\t\tThe Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous Beverly Hills clients and many others.<\/p>\n<p>Last week, Holzer who has been suspended by FINRA since September, settled with the SRO over the <a href=\"https:\/\/www.stockbroker-fraud.com\">broker fraud <\/a>charges. The regulator had sued her for allegedly lying to Wedbush Morgan Securities Inc., which is another former brokerage firm, about the net worth of a number of clients when she sold private placement offerings-Provident Royalties preferred shares-that ended up being part of a $485M Ponzi scheme. She is also accused of not reporting a pending regulatory action on her employment history.<\/p>\n<p>Previously, Holzer and UBS PaineWebber Inc., which was another firm she was with, paid at least $11.4M to settle dozens of securities claims by investors accusing her of misrepresenting variable annuities by telling them they came with guaranteed returns. Holzer&#8217;s BrokerCheck report is 115 pages long.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/\"  title=\"Continue Reading Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous Beverly Hills clients and many others. Last week, Holzer who has been suspended by FINRA since September, settled with the SRO over the broker fraud charges. The regulator had sued her for allegedly [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3739],"tags":[],"class_list":["post-1363","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA &#8212; Investor Lawyers Blog &#8212; December 26, 2013<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous &#8212; December 26, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA &#8212; Investor Lawyers Blog &#8212; December 26, 2013\" \/>\n<meta name=\"twitter:description\" content=\"The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous &#8212; December 26, 2013\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA &#8212; Investor Lawyers Blog &#8212; December 26, 2013","description":"The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous &#8212; December 26, 2013","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/","twitter_card":"summary_large_image","twitter_title":"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA &#8212; Investor Lawyers Blog &#8212; December 26, 2013","twitter_description":"The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. Holzer is known for representing rich and famous &#8212; December 26, 2013","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA","datePublished":"2013-12-26T13:25:22+00:00","dateModified":"2022-03-11T14:55:00+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/"},"wordCount":388,"articleSection":["Broker Fraud","FINRA"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/","url":"https:\/\/www.investorlawyers.com\/blog\/broker-to-the-stars-broker-bam\/","name":"Broker to the Stars\u201d Broker Bambi Holzer is Barred from Securities Industry by FINRA &#8212; Investor Lawyers Blog &#8212; December 26, 2013","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2013-12-26T13:25:22+00:00","dateModified":"2022-03-11T14:55:00+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"The Financial Industry Regulatory Authority is barring broker Bambi Holzer from the securities industry. 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