Category: Business Development Companies
Financial advisor Robert Ginsberg (CRD# 5177531) is accused of recommending unsuitable real estate investment trusts (REITs). Ginsberg has been registered with Woodbury Financial Services, Inc. in Wallingford, Connecticut since September 2016. Previously, he was registered with Investors Capital Corp. in … Continue reading
There are options for customers of former D.H. Hill Securities, LLLP broker Charles Stevens (CRD# 1698058) who suffered investment losses. Stevens was registered with D.H. Hill Securities, LLLP in St. Augustine, Florida from 2006 to 2020. In December 2020, FINRA … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisors across the country regarding excessive amounts of alternative investments in client portfolios. In October 2017, the State of New Jersey, Bureau of Securities fined LPL Financial LLC $950,000 and ordered … Continue reading
Erez Law is currently investigating Purshe Kaplan Sterling Investments financial advisor Gopi Krishna Vungarala regarding excessive sales charges on the purchase of non-traded Real Estate Investment Trusts (REITs) and Business Development Companies (BDCs). Vungarala was registered with Purshe Kaplan Sterling … Continue reading