Category: Private placements
Erez Law is currently investigating former Cetera Investment Services LLC broker Xinxin Lu (Stella Lu) (CRD# 6270026) regarding the now defunct Beechwood Bermuda investment losses (fka PB Life and Old Mutual), which is an annuity product offered by Northstar Financial … Continue reading
Erez Law is currently investigating National Securities Corporation broker Jay Sheth (CRD# 4656009) regarding private placement investment losses. He has been registered with National Securities Corporation in New York, New York since 2004. In April 2022, FINRA sanctioned him to … Continue reading
There are options for clients of former Royal Alliance Associates, Inc. broker Arthur Grossbard (CRD# 1020971) who lost money investing in private placements. He has been registered with Ameriprise Financial Services, LLC in West Orange, New Jersey since 2020. Previously, … Continue reading
Erez Law is currently investigating former Sagepoint Financial, Inc. broker Shelby Moore (CRD# 4776583) regarding private placement investment losses. He has been registered with Arkadios Capital in Angleton, Texas since 2021. Previously, he was registered with Sagepoint Financial, Inc. in … Continue reading
There are options for clients of MSC-BD, LLC broker Robert Fehrman (CRD# 205552) who is accused of GPB Capital Holdings losses. He has been registered with MSC-BD, LLC in Cumming, Georgia from 2013 to 2022. He also faced four regulatory … Continue reading
Erez Law is currently investigating Geneos Wealth Management brokers who recommended their clients invest in LJM Capital Preservation and Growth Fund and GPB Capital Holdings, LLC. In March 2022, FINRA censured Geneos Wealth Management and sanctioned the firm to pay … Continue reading
Erez Law is currently investigating MetLife Securities Inc. broker John Phillips (CRD# 2796242) regarding private placement fraud losses. John Phillips has been registered with MetLife Securities Inc. in Charlotte, North Carolina from 1999 to 2015. John Phillips Customer Complaints John … Continue reading
Erez Law is currently investigating Royal Alliance Associates, Inc. broker Mark Young (CRD# 1800687) regarding private placement investment losses. Mark Young has been registered with Royal Alliance Associates, Inc. in Topeka, Kansas since 2006. Mark Young Customer Complaints Mark Young … Continue reading
Erez Law is currently investigating Delta Securities Company, LLC broker Sean Casterline (CRD# 2212919) regarding private placements investment losses. Sean Casterline has been registered with Delta Securities Company, LLC in Maitland, Florida since 2002. In December 2021, FINRA sanctioned Sean Casterline … Continue reading
Were you the victim of NTB Financial Corp. broker George McCaffrey III (CRD# 847377) regarding private placement investment losses? George McCaffrey III was registered with NTB Financial Corporation in Englewood, Colorado from 1989 to 2017. In June 2021, FINRA barred George … Continue reading