KCD Financial, Inc. broker Brett Frum (CRD# 2175253) is accused of private placement losses. He has been registered with KCD Financial, Inc. in Green Bay, Wisconsin, since 2021. He was registered with AEI Securities, Inc. in St. Paul, Minnesota, in … Continue reading
Can you recover losses due to recommendations by former Emerson Equity LLC and Arkadios Capital broker Ashley Romiti (CRD# 7636987), who is accused of private placement losses? She has been registered with Concorde Investment Services, LLC in Ann Arbor, Michigan, … Continue reading
Were you the victim of private placement losses due to recommendations by Lifemark Securities Corp. broker Michael Minter (CRD# 2989575)? He has been registered with Lifemark Securities Corp. in Tampa, Florida, since 2009. In November 2024, the Florida Office of … Continue reading
Were you the victim of Glendale Securities, Inc. broker Richard Barber (CRD# 1298800)? He has been registered with Techspeed Clearing LLC in Addison, Texas, since 2025, and Glendale Securities, Inc. in Sherman Oaks, California, since 2024. He was registered with … Continue reading
Erez Law is currently investigating Alexander Capital, L.P. broker Joseph Amato (CRD# 2751635) regarding private placement losses. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2013, and Alexander Capital Wealth Management LLC in Red … Continue reading
There are options for customers of former Aegis Capital Corp. broker David Reimer (CRD# 2350952) regarding private placement losses. He has been registered with Dominari Securities LLC in New York, New York, since 2024. He was registered with Aegis Capital … Continue reading
Were you the victim of former Skystone Securities, LLC broker Rosser Newton (CRD# 2616702)? He has been registered with Skystone Securities, LLC in Dallas, Texas, from 2004 to 2025. Rosser Newton Customer Complaints He has been the subject of one … Continue reading
There are options for clients of former B Riley Wealth Management broker Derrick Watts (CRD# 2479608) who suffered losses due to investments in private placements. He has been registered with Packerland Brokerage Services, Inc. in Chicago, Illinois, since 2020. He … Continue reading
Erez Law is currently investigating barred broker Dana Vietor (CRD# 873129), who faces multiple customer complaints regarding promissory note investment losses. In November 2022, FINRA ordered him to pay $5.7 million to investors who were allegedly defrauded in a medical … Continue reading
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