Category: Private placements
Erez Law is currently investigating Wealthforge Securities, LLC broker Chay Lapin (CRD# 6275140) regarding real estate and private placement investment losses. He has been registered with Fnex Capital, LLC in Indianapolis, Indiana, since 2022. Previously, he was registered with Growth … Continue reading
Erez Law is currently investigating Berthel Fisher and its brokers across the country, who allegedly recommended their clients invest in alternative investments and private placements. In 2022, investors filed a claim against Berthel Fisher for $32.1 million, according to the … Continue reading
Barred former MML Investors Services, LLC broker Darien Bonney (CRD# 4899007) faces customer complaints related to private securities transactions. He was registered with MML Investors Services, LLC in Scottsdale, Arizona from 2007 2022, when he was terminated regarding “Registered Representative … Continue reading
Were you the victim of Cape Securities, Inc. broker Samuel Bruce Phillips Jr. (CRD# 2239471) who is accused of unsuitable investment recommendations in Nelson Partners’ Skyloft is a private placement investment in commercial real estate. Samuel Bruce Phillips Jr. Customer Complaints … Continue reading
Were you the victim of Cape Securities Inc. broker Karen Geiger (CRD# 1456604) regarding GWG Holdings Inc. L Bonds losses? She has been registered with Cape Securities Inc. in Mcdonough, Georgia, since 2017. Previously, he was registered with Cape Investment … Continue reading
Can I recover losses from investments with Center Street Securities, Inc. broker Michael Ecker (CRD# 824193)? He has been registered with Center Street Securities, Inc. in Lake Worth, Florida, since 2018. Previously, he was registered with Concorde Investment Services, LLC … Continue reading
There are options for clients of former National Securities Corporation broker Brandon Leon (CRD# 5200595) who suffered private placement investment losses. He has been registered with PHX Financial, Inc. in New York, New York, since 2022. Previously, he was registered … Continue reading
Can I recover losses from investments with former NYLIFE Securities LLC broker Ronald Bailey (CRD# 6270312)? He has been registered with Mutual Of America Life Insurance Company in Anchorage, Alaska from March to April 2020. Previously, he was registered NYLife … Continue reading
Erez Law is currently investigating brokers registered with Advisor Group firms who recommended GPB Capital Holdings investments. In December 2022, four Advisor Group firms were ordered to pay $1.3 million in fines and restitution to clients related to the sale … Continue reading
Erez Law is currently investigating Landolt Securities, Inc. broker Jason Seurer (CRD# 2541616) regarding GWG Holdings Inc. losses. He has been registered with Landolt Securities, Inc. in Maple Plain, Minnesota since 2018. The State of South Dakota Division of Securities … Continue reading