Private placements

Former Arkadios Capital Customer Files FINRA Arbitration for GPB Capital Holdings Investment Losses

Posted on Thursday, May 23rd, 2019 at 12:16 pm    

According to public records, a former customer of Arkadios Capital filed a FINRA arbitration claim against Arkadios Capital for investments losses in GPB Capital Holdings in her IRA. The former client allegedly lost hundreds of thousands of dollars in her retirement fund. The investor claims that her retirement investment portfolio was concentrated in private placements, […]

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GPB Capital Holdings Allegedly Sold by More than 80 Brokerage Firms Across the Country

Posted on Tuesday, April 23rd, 2019 at 3:49 pm    

Financial advisors across the country from more than 80 brokerage firms are alleged to recommend unsuitable investments in GPB Capital Holdings. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to their nature as unregistered securities offerings (and without regulatory oversight). […]

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GPB Capital Holdings Investment Losses with Royal Alliance Associates Financial Advisor Matthew Crafa

Posted on Friday, April 12th, 2019 at 12:55 pm    

Erez Law is currently investigating Royal Alliance Associates financial advisor Matthew Crafa (CRD# 3114277) regarding recommending unsuitable investments in GPB Holdings. Crafa has been registered with Royal Alliance Associates, Inc. in Garden City, New York since 2007. According to public records, a former client filed a FINRA arbitration against Royal Alliance Associates and financial advisor […]

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GPB Capital Holdings Investment Losses

Posted on Friday, April 12th, 2019 at 12:50 pm    

Did your financial advisor recommend you invest in GPB Capital Holdings? GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to their nature as unregistered securities offerings (and without regulatory oversight). The firm manages the following nine private placements: GPB Automotive […]

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Did Your Financial Advisor Recommend GPB Capital Holdings?

Posted on Monday, April 1st, 2019 at 2:21 pm    

Erez Law is currently investigating financial advisors across the United States who recommend their clients invest in GPB Capital Holdings, a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk due to their nature as unregistered securities offerings (and without regulatory oversight). The investment firm raised $1.8 […]

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Erez Law Investigates Former Foresters Equity Services, Inc. Financial Advisor Michael Rappa

Posted on Saturday, March 30th, 2019 at 10:45 am    

Did you lose money investing with former Foresters Equity Services, Inc. financial advisor Michael Rappa (CRD# 4799159)? Rappa was registered with Foresters Equity Services, Inc. in San Diego, California from 2010 to 2017. In February 2019, FINRA barred Rappa after he consented to the sanction and to the entry of findings that he engaged in […]

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Barred Broker: Former UBS Financial Services Inc. Financial Advisor Alex Herrera

Posted on Thursday, November 1st, 2018 at 10:23 am    

Former UBS Financial Services Inc. financial advisor Alex Herrera (CRD# 3204779) barred by FINRA regarding unreported outside business activities and private securities transactions. Herrera was registered with UBS Financial Services Inc. in Coral Gables, Florida from 2012 to 2018. In August 2018, FINRA barred Herrera after he consented to the sanction and to the entry […]

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Did Former Foresters Equity Services, Inc. Financial Advisor John Ernst Recommend Woodbridge Mortgage Investments?

Posted on Thursday, October 18th, 2018 at 8:09 am    

Erez Law is currently investigating former Foresters Equity Services, Inc. financial advisor John Ernst (CRD# 1958252) regarding recommending unsuitable Woodbridge Mortgage investments. Ernst has been registered with Foresters Equity Services, Inc. in San Diego, California from 2011 to March 2018, when he was terminated regarding, “The RR violated the Firm’s policies and procedures in that […]

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Have You Suffered Losses Due to Investments with GPB Capital Holdings?

Posted on Wednesday, October 3rd, 2018 at 5:29 pm    

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. GPB Capital Holdings missed sending the Securities and Exchange Commision (SEC) financial reports on April […]

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Former Cetera Advisors LLC Financial Advisor Scott Kozak Investment Losses

Posted on Monday, August 27th, 2018 at 1:59 pm    

Erez Law is currently investigating former Cetera Advisors LLC financial advisor 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 regarding, “Violating firm policy prohibiting Personal Securities Transactions.” In May 2018, FINRA opened an […]

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