Category: Private placements
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
There are options for clients of Spartan Capital Securities, LLC broker John Lowry (CRD# 4336146) who suffered investment losses. John Lowry has been registered with Spartan Capital Securities, LLC in New York, New York since 2008. In October 2021, “Lowry … Continue reading
Erez Law is currently investigating Delta Securities Company, LLC broker Sean Casterline (CRD# 2212919) regarding private placements investment losses. Sean Casterline has been registered with Delta Securities Company, LLC in Maitland, Florida since 2002. In December 2021, FINRA sanctioned Sean Casterline … Continue reading
Were you the victim of NTB Financial Corp. broker George McCaffrey III (CRD# 847377) regarding private placement investment losses? George McCaffrey III was registered with NTB Financial Corporation in Englewood, Colorado from 1989 to 2017. In June 2021, FINRA barred George … Continue reading
Former Purshe Kaplan Sterling Investments broker Tonya Smoake (CRD# 4985049) was suspended by FINRA regarding her participation in private securities transactions. Tonya Smoake was registered with Bhargava Capital in Franklin Lakes, New Jersey from 2019 to 2020. Previously, Tonya Smoake … Continue reading
Can I recover losses from investments with former JPMorgan Chase Bank, N.A. broker Robert Douglass (CRD# 4262487), who is accused of recommending unsuitable private placements? Robert Douglass has been registered with Arkadios Capital in Atlanta, Georgia since November 2021. Previously, Robert … Continue reading
Did former Sagepoint Financial, Inc. broker David Adams (CRD# 1575083) recommended unsuitable investments, including GPB Capital Holdings’ private placements? David Adams has been registered with Ameriprise Financial Services, LLC in Jacksonville, Florida since 2018. Previously, David Adams was registered with Sagepoint … Continue reading