Erez Law is currently investigating Triad Advisors LLC broker Lee Duckworth (CRD# 2097591), who is alleged to recommend unsuitable GPB Capital Holdings investments. Duckworth has been registered with Triad Advisors LLC in West Warwick, Rhode Island since 2012 and with … Continue reading
Former Royal Alliance Associates, Inc. broker Frank Mastrosimone (CRD# 322615) faces a customer complaint regarding investment losses. Mastrosimone has been registered with Pruco Securities, LLC in Basking Ridge, New Jersey since January 2020 and with Prudential Financial Planning Services in … Continue reading
Erez Law is currently investigating former Alexander Capital, L.P. broker Jody Thompson (CRD# 2391190) regarding private equities investment losses. Thompson has been registered with Alexander Capital, L.P. in New York, New York from 2015 to 2019. In March 2020, FINRA … Continue reading
Erez Law is currently investigating former National Securities Corporation broker Mark Cline (CRD# 3206962) regarding the suitability of private placement investment recommendations. He was registered with National Securities Corporation in Wildwood, Florida from 2014 to January 2022. Mark Cline Customer … Continue reading
There are options for clients of Dai Wealth, LLC broker Joseph Michaletz (CRD# 1327534) who suffered investment losses in GPB Capital Holdings’ private placements. Joseph Michaletz has been registered with Dai Securities, LLC in Mankato, Minnesota since 2018 and with … Continue reading
Erez Law is currently investigating former David A. Noyes & Company broker James Kirchner (CRD# 2852217) regarding unsuitable investment recommendations. Kirchner was registered with Cabot Lodge Securities LLC in Chicago, Illinois from September 2019 to March 2020. Previously, Kirchner was … Continue reading
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