Category: Private placements
There are options for clients of Centaurus Financial, Inc. broker Bryon Martinsen (CRD# 1621649) who suffered investment losses regarding private placement losses. He has been registered with Centaurus Financial, Inc. in Kings Park, New York since 1999. In August 2022, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Aeon Capital Inc. broker Timothy Thelen (CRD# 1924966) regarding private placement losses. He has been registered with Aeon Capital Inc. in New York, … Continue reading
Erez Law is currently investigating Aegis Capital Corp. broker Christopher Knutson (CRD# 2997006) regarding private placement fraud. He has been registered with Aegis Capital Corp. in Melville, New York since 2014. Christopher Knutson Customer Complaints He has been the subject … Continue reading
Erez Law is currently investigating National Securities Corp. brokers across the country who allegedly recommended their clients invest in GPB Capital Holdings. In June 2022, FINRA sanctioned National Securities Corp. to pay approximately $9 million, including: disgorgement of $4.77 million … Continue reading
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