Category: Private placements
Erez Law is currently investigating Tigress Financial Partners, LLC broker Lily Li (CRD# 1741746) regarding private placement investment losses. She has been registered with Tigress Financial Partners, LLC in New York, New York, since 2016. Lily Li Customer Complaints She … Continue reading
Erez Law is currently investigating former Baker Tilly Capital, LLC broker Matthew Smith (CRD# 1419716) regarding private placement losses. He was registered with Arete Wealth Management, LLC in Chicago, Illinois, from 2022 to 2025, S2K Financial LLC in Orlando, Florida, … Continue reading
WealthForge Securities, LLC broker Jason Salmon (CRD# 6081963) is accused of private placement losses. He has been registered with Fnex Capital LLC in Torrence, California, since 2022. He was registered with Growth Capital Services, Inc. in New York, New York, … Continue reading
Were you the victim of Spartan Capital Securities, LLC broker Kim Monchik (CRD# 2528972)? She has been registered with Spartan Capital Securities, LLC in New York, New York, since 2008. In October 2021, FINRA named her in a complaint alleging … Continue reading
Were you the victim of Westpark Capital, Inc. broker Victor Sibilla (CRD# 1783361)? He has been registered with Westpark Capital, Inc. in Boca Raton, Florida, since 2010. In April 1998, the National Association of Securities Dealers, Inc. ordered him to … Continue reading
There are options for clients of Laidlaw & Company broker Richard Michalski (CRD# 4588706) regarding stock and private placement losses. He has been registered with Laidlaw & Company in New York, New York, since 2010. In November 2023, the United … Continue reading
Cobalt Capital, Inc. broker Benjamin Schick (CRD# 4897243) is accused of iCap Equity, LLC investment losses. He has been registered with Cobalt Capital, Inc. in Lake Mary, Florida, since 2005. Benjamin Schick Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Arkadios Capital broker David Curry (CRD# 4506561) regarding private placement losses. He has been registered with Arkadios Capital in Atlanta, Georgia, since 2017, and EPG Wealth Management LLC in Atlanta, Georgia, since 2019. He was … Continue reading
Did you lose money investing in Centaurus Financial, Inc. broker Christopher Martin (CRD# 4179127)? He has been registered with Centaurus Financial, Inc. in Apple Valley, California, since 2006. In January 2025, FINRA sanctioned him to pay a civil and administrative … Continue reading
Erez Law is currently investigating Vanderbilt Securities, LLC broker Brian Gardiner (CRD# 3268932) regarding private placement losses. He has been registered with Vanderbilt Securities, LLC in Westminster, Maryland, since 2023. He was registered with Coastal Equities, Inc. and Coastal Investment … Continue reading