Category: Private placements
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Aeon Capital Inc. broker Timothy Thelen (CRD# 1924966) regarding private placement losses. He has been registered with Aeon Capital Inc. in New York, … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Christopher Knutson (CRD# 2997006) regarding private placement fraud. He has been registered with Aegis Capital Corp. in Melville, New York since 2014. Christopher Knutson Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating former Cetera Investment Services LLC broker Xinxin Lu (CRD# 6270026) regarding Northstar Financial Services (Bermuda) Ltd. investment losses. She is commonly known as Stella Lu. She was with Transamerica Financial Advisors, Inc. in Sunnyvale, California from … Continue reading
Erez Law is currently investigating National Securities Corporation broker Jay Sheth (CRD# 4656009) regarding private placement investment losses. He has been registered with National Securities Corporation in New York, New York since 2004. In April 2022, FINRA sanctioned him to … Continue reading
There are options for clients of former Royal Alliance Associates, Inc. broker Arthur Grossbard (CRD# 1020971) who lost money investing in private placements. He has been registered with Ameriprise Financial Services, LLC in West Orange, New Jersey since 2020. Previously, … Continue reading
Erez Law is currently investigating former Sagepoint Financial, Inc. broker Shelby Moore (CRD# 4776583) regarding private placement investment losses. He has been registered with Arkadios Capital in Angleton, Texas since 2021. Previously, he was registered with Sagepoint Financial, Inc. in … Continue reading
There are options for clients of MSC-BD, LLC broker Robert Fehrman (CRD# 205552) who is accused of GPB Capital Holdings losses. He has been registered with MSC-BD, LLC in Cumming, Georgia from 2013 to 2022. He also faced four regulatory … Continue reading
Erez Law is currently investigating Geneos Wealth Management brokers who recommended their clients invest in LJM Capital Preservation and Growth Fund and GPB Capital Holdings, LLC. In March 2022, FINRA censured Geneos Wealth Management and sanctioned the firm to pay … Continue reading
Erez Law is currently investigating MetLife Securities Inc. broker John Phillips (CRD# 2796242) regarding private placement fraud losses. John Phillips has been registered with MetLife Securities Inc. in Charlotte, North Carolina from 1999 to 2015. John Phillips Customer Complaints John … Continue reading
Erez Law is currently investigating Royal Alliance Associates, Inc. broker Mark Young (CRD# 1800687) regarding private placement investment losses. Mark Young has been registered with Royal Alliance Associates, Inc. in Topeka, Kansas since 2006. Mark Young Customer Complaints Mark Young … Continue reading