Private placements

Woodbridge Group of Companies Investment Losses with Former Forest Securities, Inc. Broker Jeffrey Nimmow

Posted on Wednesday, March 18th, 2020 at 1:47 pm    

Former Forest Securities, Inc. broker Jeffrey Nimmow (CRD# 2693601) is accused of recommending unsuitable Woodbridge Group of Companies investments. Nimmow was registered with Forest Securities, Inc. in Hillside, Illinois from 2015 to 2018, when he was terminated regarding, “Inaccurate judgment by the representative involving Woodbridge promissory notes and mortgages contained in Woodbridge funds. Representative presented […]

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Former American Capital Partners, LLC Broker Anthony Vultaggio Jr. Private Placement Losses

Posted on Wednesday, February 19th, 2020 at 8:31 pm    

Were you the victim of former American Capital Partners, LLC broker Anthony Vultaggio Jr. (CRD# 5292477)? Vultaggio has been registered with American Capital Partners, LLC in East Meadow, New York from 2007 to 2017. In September 2017, FINRA barred Vultaggio after he “consented to the sanction and to the entry of findings that he refused […]

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Former Nylife Securities LLC Broker Joel Flaningan Woodbridge Group of Companies Losses

Posted on Wednesday, January 29th, 2020 at 9:29 pm    

Former Nylife Securities LLC broker Joel Flaningan (CRD# 5664958) accused of recommending unsuitable Woodbridge Group of Companies investments. Flanigan has been registered with Nylife Securities LLC in Fort Wayne, Indiana from 2010 to 2018, when he was terminated regarding, “Mr. Flaningan was terminated after allegations he was involved in the solicitation of New York Life […]

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Former Ameriprise Financial Services, Inc. and Kalos Capital, Inc. Broker Gary Imel GPB Capital Holdings Losses

Posted on Thursday, December 19th, 2019 at 8:28 am    

Erez Law is currently investigating former Ameriprise Financial Services, Inc. and Kalos Capital, Inc. broker Gary Imel (CRD# 254765) regarding regarding GPB Capital Holdings losses. Imel was registered with Ameriprise Financial Services, Inc. in Gig Harbor, Washington from August 2017 to October 2018. Imel was previously registered with Kalos Capital, Inc. in Gig Harbor, Washington […]

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Cetera Advisors LLC Broker Roger Owens Investment Loss Investigation

Posted on Wednesday, January 22nd, 2020 at 9:46 pm    

Erez Law is currently investigating Cetera Advisors LLC broker Roger Owens (CRD# 2359204) regarding investment losses. Owens has been registered with Cetera Advisors LLC in Elkton, Maryland from 2007 to April 2019, when he was terminated regarding, “Discharged due to violating firms policies and procedures by participating in unapproved private securities transactions.” In August 2019, […]

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Uhlmann Price Securities, LLC Broker John Hoidas GPB Capital Holdings Investment Losses

Posted on Wednesday, January 29th, 2020 at 3:17 pm    

Were you the victim of Uhlmann Price Securities, LLC broker John Hoidas (CRD# 1937971) who recommended GPB Capital Holdings investments? Hoidas has been registered with Uhlmann Price Securities, LLC in Chicago, Illinois since 2013. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of […]

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Former Ross, Sinclaire & Associates, LLC Client Wins FINRA Arbitration for $2.1 Million for Tax Credit Funding, LLC Losses

Posted on Wednesday, December 18th, 2019 at 9:35 pm    

In November 2019, a former client of Ross, Sinclaire & Associates, LLC won an award in a FINRA arbitration for $1.96 million in compensatory damages and 12% interest per annum, as well as $140,567.08 in attorney’s fees and $750 for the non-refundable filing fee. FINRA found that was liable for misrepresentation and omission of material […]

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Did You Lose Money Investing with SagePoint Financial in GPB Capital Holdings?

Posted on Wednesday, December 11th, 2019 at 2:59 pm    

According to public records, a former client of SagePoint Financial filed a $100,000 FINRA arbitration against SagePoint Financial for losses due to investments in GPB Capital Holdings. The elderly investor invested in and concentrated her investment portfolio at the advice of her broker. The investor was told she would be able to take to take […]

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Former Triad Advisors LLC Broker Michael (Mike) Sievert GPB Capital Holdings Losses

Posted on Wednesday, December 11th, 2019 at 2:11 pm    

Erez Law is currently investigating former Triad Advisors LLC broker Michael (Mike) Sievert (CRD# 2127441) regarding GPB Capital Holdings losses. Sievert has been registered with Arkadios Capital in Jacksonville, Florida since February 2018. Previously, Sievert was registered with Triad Advisors LLC in Jacksonville, Florida from 2012 to 2018. GPB Capital Holdings is a New York-based investment […]

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GPB Capital Losses with Coastal Equities, Inc. Broker Luke Johnson

Posted on Tuesday, December 3rd, 2019 at 2:14 pm    

Erez Law is currently investigating Coastal Equities, Inc. broker Luke Johnson (CRD# 3257008) regarding GPB Capital Holdings investment losses. Johnson has been registered with Coastal Equities, Inc. in Scottsdale, Arizona since 2012. Prior to that, Johnson was registered with Carillon Investments, Inc. in Cincinnati, Ohio and with Northwestern Mutual Investment Services, LLC in Milwaukee, Wisconsin. […]

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