Cobalt Capital, Inc. broker Benjamin Schick (CRD# 4897243) is accused of iCap Equity, LLC investment losses. He has been registered with Cobalt Capital, Inc. in Lake Mary, Florida, since 2005. Benjamin Schick Customer Complaints He has been the subject of … Continue reading
Erez Law is currently investigating Arkadios Capital broker David Curry (CRD# 4506561) regarding private placement losses. He has been registered with Arkadios Capital in Atlanta, Georgia, since 2017, and EPG Wealth Management LLC in Atlanta, Georgia, since 2019. He was … Continue reading
Did you lose money investing in Centaurus Financial, Inc. broker Christopher Martin (CRD# 4179127)? He has been registered with Centaurus Financial, Inc. in Apple Valley, California, since 2006. In January 2025, FINRA sanctioned him to pay a civil and administrative … Continue reading
Erez Law is currently investigating Vanderbilt Securities, LLC broker Brian Gardiner (CRD# 3268932) regarding private placement losses. He has been registered with Vanderbilt Securities, LLC in Westminster, Maryland, since 2023. He was registered with Coastal Equities, Inc. and Coastal Investment … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Sergio Rovner (CRD# 2884441) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2014. In December 2005, NASD fined him $10,000 and … Continue reading
There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Whelan (CRD# 5247677). He has been registered with Kovack Securities Inc. and Kovack Advisors, Inc. in Fort Lauderdale, Florida, since February 2025 He was … Continue reading
Former Emerson Equity LLC broker Rawney McVaney (CRD# 1991351) is accused of private placement losses. He was registered with Emerson Equity LLC in Austin, Texas, from 2016 to 2019, and Lightpath Capital, Inc. in Southlake, Texas, in 2016. Rawney McVaney … Continue reading
There are options for clients of Morgan Stanley broker Jean-Pierre Gobic (CRD# 4380699) regarding private securities losses. He has been registered with Morgan Stanley in Sarasota, Florida, since 2010. Jean-Pierre Gobic Customer Complaints He has been the subject of three … Continue reading
Were you the victim of Ausdal Financial Partners, Inc. broker Michael Hoye (CRD# 3029864)? He has been registered with Ausdal Financial Partners, Inc. in Schaumburg, Illinois, since 2009. Michael Hoye Customer Complaints He has been the subject of one customer … Continue reading
There are options for clients of Axiom Capital Management, Inc. broker John Lemak (CRD# 845891) who suffered investment losses. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2015, and Sandor Advisors, LLC in … Continue reading