Category: Private placements
Erez Law is currently investigating Ankoh Investment Services, Inc. broker Yoko Farias (CRD# 3180126) regarding unsuitable investments in Northstar Financial Services (Bermuda) Ltd. Farias has been registered with Ankoh Investment Services, Inc. in Honolulu, Hawaii since 2001. The Bermuda-based annuity … Continue reading
Were you the victim of Ocean Financial Services, LLC broker Maria Calcena (CRD# 6348974) who is alleged to recommend her clients invest in Northstar Financial Services (Bermuda) Ltd.? Calcena has been registered with Infinex Investments, Inc. in Palm Beach, Florida … Continue reading
Did your Geneos Wealth Management broker recommend you invest in GPB Capital Holdings, and you suffered investment losses as a result? GPB Capital Holdings is now alleged to be a $1.8 billion Ponzi scheme that was unsuitably recommended to more … Continue reading
Erez Law is currently investigating McNally Financial Services Corporation broker Daniel Poland (CRD# 1230652) regarding GPB Capital Holdings investment losses. GPB Capital Holdings is now alleged to be a $1.8 billion Ponzi scheme that was unsuitably recommended to more than … Continue reading
Did your MML Investors Services, LLC broker recommend you invest in CNL Lifestyle Properties? If your broker made unsuitable investment recommendations in private non-traded real estate investment trusts (REITs) and caused you to suffer investment losses, Erez Law can help. … Continue reading
In March 2021, Albany, New York-based Purshe Kaplan reached a $1.6 million settlement with 50 clients, without citing a cause, according to the company’s annual audited Focus report filed with the Securities and Exchange Commission (SEC). As part of the … Continue reading
There are options for clients of Royal Alliance Associates, Inc. broker Les Barber Jr. (CRD# 1256348) who suffered investment losses. Barber has been registered with Royal Alliance Associates, Inc. in South Jordan, Utah since 2013. Barber has been the subject … Continue reading
There are options for customers of former SagePoint Financial, Inc. broker Daniel Dillard (CRD# 4289333). Dillard has been registered with Union Capital Company in Austin, Texas from April to July 2019. Previously, Dillard was registered with Sagepoint Financial, Inc. in … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
In December 2020, FINRA fined Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC $1 million, which included a $750,000 fine for Cetera Advisor Networks LLC, a $150,000 fine for Cetera Advisors LLC, and a $100,000 fine … Continue reading