Former Nylife Securities LLC broker Joel Flaningan (CRD# 5664958) accused of recommending unsuitable Woodbridge Group of Companies investments. Flanigan has been registered with Nylife Securities LLC in Fort Wayne, Indiana from 2010 to 2018, when he was terminated regarding, “Mr. … Continue reading
Were you the victim of Uhlmann Price Securities, LLC broker John Hoidas (CRD# 1937971) who recommended GPB Capital Holdings investments? Hoidas has been registered with Uhlmann Price Securities, LLC in Chicago, Illinois since 2013. GPB Capital Holdings is a New … Continue reading
Erez Law is currently investigating Cetera Advisors LLC broker Roger Owens (CRD# 2359204) regarding investment losses. Owens has been registered with Cetera Advisors LLC in Elkton, Maryland from 2007 to April 2019, when he was terminated regarding, “Discharged due to … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. and Kalos Capital, Inc. broker Gary Imel (CRD# 254765) regarding regarding GPB Capital Holdings losses. Imel was registered with Ameriprise Financial Services, Inc. in Gig Harbor, Washington from August 2017 … Continue reading
In November 2019, a former client of Ross, Sinclaire & Associates, LLC won an award in a FINRA arbitration for $1.96 million in compensatory damages and 12% interest per annum, as well as $140,567.08 in attorney’s fees and $750 for … Continue reading
According to public records, a former client of SagePoint Financial filed a $100,000 FINRA arbitration against SagePoint Financial for losses due to investments in GPB Capital Holdings. The elderly investor invested in and concentrated her investment portfolio at the advice … Continue reading
Erez Law is currently investigating former Coastal Equities, Inc. broker Luke Johnson (CRD# 3257008), who is accused of recommending unsuitable GPB Capital Holdings investments. Johnson was registered with Coastal Equities, Inc. in Scottsdale, Arizona from 2012 to 2019, when he … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Frederick Baerenz (CRD# 2388453) who allegedly recommended unsuitable GPB Capital Holdings investments. Baerenz was registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is … Continue reading
Former Kalos Capital, Inc. broker David Sweat (CRD# 5502379) is accused of recommending unsuitable GPB Capital Holdings. Sweat has been registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is a New York-based … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPB Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, … Continue reading