Category: Private placements
Erez Law is currently investigating brokers around the country who recommended their customers invest in GPB Capital Holdings. According to public records, in August 2018, GPB Capital Holdings, a seller of high-risk, high-commission private placements, ceased raising capital from investors. … Continue reading
Erez Law is currently investigating former Cetera Advisors LLC broker Scott Kozak (CRD# 1272583) regarding engaging in private securities transactions. Kozak was registered with Cetera Advisors LLC in Highlands Ranch, Colorado from 2001 to August 2018 when he was terminated … Continue reading
Temenos Advisory, Inc. and principal and chief executive officer (CEO) George Taylor (CRD# 1104198) regarding charged with fraud for putting $19 million of investor money into risky investments. Taylor has been registered with Fairport Capital, Inc. in Litchfield, Connecticut since … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Dennis Hayes (CRD# 4403550) regarding selling away and private securities transactions. Hayes was registered with Salomon Whitney Financial in Melville, New York for two days from April 25-27, 2017. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Sisk Investment Services, Inc. financial advisor Matthew Eckstein (CRD# 2997245) regarding undocumented investments. Eckstein was with Sisk Investment Services, Inc. in Syosset, … Continue reading
There are options for customers of Summit Brokerage Services, Inc. financial advisor Ronald Clark (CRD# 1086724). Clark has been registered with Summit Brokerage Services, Inc. in Tampa, Florida since 2009. In August 2011, FINRA sanctioned Clark to $5,000 in civil … Continue reading
Did you lose money investing with former Western International Securities, Inc. financial advisor Jed Tinder (CRD# 1013144)? Tinder was registered with Western International Securities, Inc. in Missoula, Montana from 2005 to 2016. Previously, Tinder was “permitted to resign” from Prudential … Continue reading
There are options for customers of former NMS Capital Advisors, LLC financial advisor Darrell Rideaux (CRD# 5211032) who suffered investment losses. Rideaux was registered with NMS Capital Advisors, LLC in Beverly Hills, California from August 2016 to May 2017. Previously, … Continue reading
Did you lose money investing with former FSC Securities Corporation financial advisor Barry Hartman (CRD# 1361232)? Hartman was registered with FSC Securities Corporation in Missoula, Montana from 2002 to 2015, when he was terminated regarding, “Registered representative terminated for violation … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Comprehensive Asset Management and Servicing, Inc. financial advisor Tamara Steele (CRD# 3227494) regarding losses sustained from investments in Behavioral Recognition Systems. Steele … Continue reading