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National Investment Fraud Lawyers

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Triad Advisors LLC Broker Lee Duckworth GPB Capital Holdings Investment Loss Options

Triad Advisors LLC Broker Lee Duckworth GPB Capital Holdings Investment Loss Options

Posted on Tuesday, September 29th, 2020 at 8:30 pm    

Erez Law is currently investigating Triad Advisors LLC broker Lee Duckworth (CRD# 2097591), who is alleged to recommend unsuitable GPB Capital Holdings investments. Duckworth has been registered with Triad Advisors LLC in West Warwick, Rhode Island since 2012 and with Capital Wealth Management, LLC in West Warwick, Rhode Island since 2011. GPB Capital Holdings is… Read More

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Investment Loss Options for Clients of Former Royal Alliance Associates, Inc. Broker Frank Mastrosimone

Posted on Wednesday, September 9th, 2020 at 8:04 pm    

Former Royal Alliance Associates, Inc. broker Frank Mastrosimone (CRD# 322615) faces a customer complaint regarding investment losses. Mastrosimone has been registered with Pruco Securities, LLC in Basking Ridge, New Jersey since January 2020 and with Prudential Financial Planning Services in Basking Ridge, New Jersey since February 2020. Previously, Mastrosimone was registered with Royal Alliance Associates,… Read More

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Former Alexander Capital, L.P. Broker Jody Thompson Investment Loss Options

Posted on Wednesday, September 9th, 2020 at 8:02 pm    

Erez Law is currently investigating former Alexander Capital, L.P.  broker Jody Thompson (CRD# 2391190) regarding private equities investment losses. Thompson has been registered with Alexander Capital, L.P. in New York, New York from 2015 to 2019. In March 2020, FINRA suspended Thompson for five months after she,”consented to the sanction and to the entry of… Read More

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National Securities Corporation Broker Mark Cline Suitability Concerns

Posted on Wednesday, August 5th, 2020 at 9:04 pm    

Erez Law is currently investigating National Securities Corporation broker Mark Cline (CRD# 3206962) regarding the suitability of private placement investment recommendations. Cline has been registered with National Securities Corporation in Wildwood, Florida since 2014 and National Asset Management, Inc. in Wildwood, Florida since 2017.  Cline has been the subject of 12 customer complaints in 2019,… Read More

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Former Concorde Investment Services, LLC and Triad Advisors LLC Broker Joseph Michaletz GPB Capital Holdings Investment Loss Options

Posted on Tuesday, July 28th, 2020 at 8:10 pm    

Erez Law is currently investigating former Concorde Investment Services, LLC and Triad Advisors LLC broker Joseph Michaletz (CRD# 1327534) is alleged to recommend unsuitable GPB Capital Holdings investments. Michaletz has been registered with Dai Securities, LLC in Mankato, Minnesota since 2018 and with Dai Securities, LLC in Atlanta, Georgia since 2006. Previously, Michaletz was registered… Read More

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Private Placement Investment Losses with Paulson Investment Company LLC Broker Timothy Touloukian?

Posted on Monday, July 20th, 2020 at 7:46 pm    

There are options for clients who suffered investment losses due to recommendations by Paulson Investment Company LLC broker Timothy Touloukian (CRD# 2803832). Touloukian has been registered with Paulson Investment Company LLC in New York, New York from 2013 to 2020.  Touloukian has been the subject of four customer complaints between 1999 and 2020, one of… Read More

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Options for Customers of Former David A. Noyes & Company Broker James Kirchner

Posted on Tuesday, July 14th, 2020 at 3:16 pm    

Erez Law is currently investigating former David A. Noyes & Company broker James Kirchner (CRD# 2852217) regarding unsuitable investment recommendations. Kirchner was registered with Cabot Lodge Securities LLC in Chicago, Illinois from September 2019 to March 2020. Previously, Kirchner was registered with IFS Securities in Chicago, Illinois from January to September 2019. Prior to that,… Read More

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Joseph Gunnar & Co. LLC Broker Anthony Sica Private Placement Losses

Posted on Wednesday, July 8th, 2020 at 2:38 pm    

Did Joseph Gunnar & Co. LLC broker Anthony Sica (CRD# 1332626) recommend you invest in unsuitable private placements? Sica has been registered with Joseph Gunnar & Co. LLC in New York, New York since 2003.  In November 2017, FINRA sanctioned Sica to a $20,000 civil and administrative penalty/fine, $3,039.11 in restitution, and a 3-month suspension… Read More

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Former The Tavenner Company Broker Dean Mings Investment Loss Options

Posted on Tuesday, June 2nd, 2020 at 2:49 pm    

Erez Law is currently investigating former The Tavenner Company broker Dean Mings (CRD# 1197212) regarding investment losses. Mings was registered with The Tavenner Company in Springfield, Ohio from 2002 to 2018, when he was terminated regarding “RR violated firm policy by (1) failing repeatedly to disclose an outside business activity (which entailed acting as trustee… Read More

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ProEquities, Inc. Broker Marc Linsky Accused of Recommending Unsuitable GPB Capital Holdings Investments

Posted on Thursday, May 28th, 2020 at 3:21 pm    

Erez Law is currently investigating ProEquities, Inc. broker Marc Linsky (CRD# 1450006) regarding GPB Capital Holdings investment losses. Linsky has been registered with Proequities, Inc. in Marlton, New Jersey since July 2018. Previously, Linsky was registered with Concorde Investment Services, LLC in Marlton, New Jersey from 2015 to 2018.  GPB Capital Holdings is a New… Read More

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