Category: Private placements
Did Joseph Gunnar & Co. LLC broker Anthony Sica (CRD# 1332626) recommend you invest in unsuitable private placements? Sica has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2003. In November 2017, FINRA sanctioned … Continue reading
Erez Law is currently investigating former The Tavenner Company broker Dean Mings (CRD# 1197212) regarding investment losses. Mings was registered with The Tavenner Company in Springfield, Ohio from 2002 to 2018, when he was terminated regarding “RR violated firm policy … Continue reading
Erez Law is currently investigating ProEquities, Inc. broker Marc Linsky (CRD# 1450006) regarding GPB Capital Holdings investment losses. Linsky has been registered with Proequities, Inc. in Marlton, New Jersey since July 2018. Previously, Linsky was registered with Concorde Investment Services, … Continue reading
Erez Law is currently investigating former Whitehall-Parker Securities, Inc. and Independent Financial Group, LLC broker James Lamont (CRD# 2846228) regarding recommending unsuitable Woodbridge Group of Companies investments. Lamont was registered with Whitehall-Parker Securities, Inc. in San Francisco, California from 2015 … Continue reading
There are options for investors who suffered investment losses due to recommendations by former Ameritas Investment Corp. broker Robert Gianchiglia (CRD# 2117250). Gianchiglia has been registered with USA Financial Securities Corporation in Worcester, Massachusetts since 2017. Previously, Gianchiglia was registered … Continue reading
Erez Law is currently investigating Money Concepts Capital Corp. broker Darren Oglesby (CRD# 2480135) regarding private placement losses. Oglesby has been registered with Money Concepts Capital Corp. in Monroe, Louisiana since 1995. Oglesby has been the subject of three customer … Continue reading
Did Newbridge Securities Corporation broker Scott Brooks (CRD# 3235252) recommend you invest in GPB Capital Holdings’ private placements? Brooks has been registered with Newbridge Securities Corporation in San Clemente, California since 2007. Brooks has been the subject of two customer … Continue reading
Did Woodbury Financial Services, Inc. broker Daryl Serizawa (CRD# 2293939) recommend you invest in GPB Capital Holdings’ private placements? Serizawa has been registered with Woodbury Financial Services, Inc. in Irvine, California since 2017. Previously, Serizawa was registered with Independent Financial … Continue reading
Erez Law is currently investigating brokers across the country who recommended their clients invest in Walton Land Fund Companies (Walton Land). It is alleged that brokers recommended their clients invest in Walton Land Fund Companies despite that these investments are … Continue reading
Former Forest Securities, Inc. broker Jeffrey Nimmow (CRD# 2693601) is accused of recommending unsuitable Woodbridge Group of Companies investments. Nimmow was registered with Forest Securities, Inc. in Hillside, Illinois from 2015 to 2018, when he was terminated regarding, “Inaccurate judgment … Continue reading