Category: Private placements
Erez Law is currently investigating former Green Vista Capital, LLC broker Randall Skrabonja (CRD# 1858245), who is accused of private placement investment losses. He was registered with Green Vista Capital, LLC in Winter Park, Florida, from 2019 to 2023, when … Continue reading
Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Joseph Alagna Jr (CRD# 1840339) regarding private placement investment losses. He has been registered with Joseph Gunnar & Co. LLC in New York, New York, since 1997. Joseph Alagna … Continue reading
Former SW Financial CEO Thomas Diamante (CRD# 1645257) was suspended by FINRA for nine months related to private placement offerings. He was registered with and served as CEO and majority owner of SW Financial in Babylon Village, New York, from … Continue reading
Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Alan Dalewitz (CRD# 1437051) regarding private placement losses. He has been registered with Herbert J. Sims & Co, Inc. in Red Bank, New Jersey, since 2006. Alan Dalewitz … Continue reading
Erez Law is currently investigating former Edward Jones broker Reuben Brown (CRD# 7089559), who was barred by FINRA regarding investment losses related to private securities transactions and selling away. He was registered with Edward Jones in Southlake, Texas, from 2019 … Continue reading
Former Accelerated Capital Group broker Michael Barrows (CRD# 2933260) is accused of GWG Holdings Inc. investment losses. He has been registered with M Stevens Securities, LLC in Irvine, California, since 2018. Previously, he was registered with the following brokerage firms: … Continue reading
There are options for clients of former Wealthforge Securities, LLC broker Dwight Kay (CRD# 5376903) who suffered private placement investment losses. He has been registered with Fnex Capital, LLC in Indianapolis, Indiana, since 2022. Previously, he was registered with the … Continue reading
Cabot Lodge Securities LLC broker Stefan Shimshidian (CRD# 3043669) is accused of GWG Holdings Inc. investment losses. He has been registered with Cabot Lodge Securities LLC in White Plains, New York, since 2013. Stefan Shimshidian Customer Complaints He has been … Continue reading
Were you the victim of investment losses due to recommendations by Alexander Capital, L.P. broker Rocco Guidicipietro (CRD# 2489732)? He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2012. In December 2006, NASD sanctioned him … Continue reading
Erez Law is currently investigating Coastal Equities, Inc. broker Gilbert Conrad (CRD# 2746778) regarding investment losses related to unsuitable investment recommendations. He has been registered with Coastal Equities, Inc. in Lewiston, New York, since 2022. Previously, he was registered with … Continue reading