Private placements

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 […]

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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 […]

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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 […]

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Erez Law is Looking to Speak with Clients of Former Whitehall-Parker Securities, Inc. and Independent Financial Group, LLC Broker James Lamont Who Suffered Woodbridge Group of Companies Losses

Posted on Wednesday, May 20th, 2020 at 7:08 am    

Erez Law is currently investigating former Whitehall-Parker Securities, Inc. and Independent Financial Group, LLC broker James Lamont (CRD# 2846228) regarding recommending unsuitable Woodbridge Group of Companies investments. Lamont was registered with Whitehall-Parker Securities, Inc. in San Francisco, California from 2015 to 2019 and previously with Independent Financial Group, LLC in Novato, California from 2006 to […]

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Investigation of Former Ameritas Investment Corp. Broker Robert Gianchiglia

Posted on Tuesday, May 5th, 2020 at 8:43 pm    

There are options for investors who suffered investment losses due to recommendations by former Ameritas Investment Corp. broker Robert Gianchiglia (CRD# 2117250). Gianchiglia has been registered with USA Financial Securities Corporation in Worcester, Massachusetts since 2017. Previously, Gianchiglia was registered with Ameritas Investment Corp. in Worcester, Massachusetts from 2005 to 2017. Gianchiglia has been the […]

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

Posted on Tuesday, April 28th, 2020 at 1:52 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 […]

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Have You Suffered Private Placement Losses with Money Concepts Capital Corp. Broker Darren Oglesby?

Posted on Tuesday, April 21st, 2020 at 4:22 pm    

Erez Law is currently investigating Money Concepts Capital Corp. broker Darren Oglesby (CRD# 2480135) regarding private placement losses. Oglesby has been registered with Money Concepts Capital Corp. in Monroe, Louisiana since 1995. Oglesby has been the subject of three customer complaints between 2005 and 2019, two of which were closed without action, according to his […]

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Newbridge Securities Corporation broker Scott Brooks GPB Capital Holdings Losses Investigation

Posted on Tuesday, April 21st, 2020 at 4:08 pm    

Did Newbridge Securities Corporation broker Scott Brooks (CRD# 3235252) recommend you invest in GPB Capital Holdings’ private placements? Brooks has been registered with Newbridge Securities Corporation in San Clemente, California since 2007. 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 […]

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Woodbury Financial Services, Inc. Broker Daryl Serizawa GPB Capital Holdings Losses Investigation

Posted on Tuesday, April 14th, 2020 at 2:55 pm    

Did Woodbury Financial Services, Inc. broker Daryl Serizawa (CRD# 2293939) recommend you invest in GPB Capital Holdings’ private placements? Serizawa has been registered with Woodbury Financial Services, Inc. in Irvine, California since 2017. Previously, Serizawa was registered with Independent Financial Group, Llc in Irvine, California from 2012 to 2017. GPB Capital Holdings is a New […]

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Options for Clients Who Lost Money Investing in Walton Land Fund Companies

Posted on Tuesday, April 14th, 2020 at 1:52 pm    

Erez Law is currently investigating brokers across the country who recommended their clients invest in Walton Land Fund Companies (Walton Land). It is alleged that brokers recommended their clients invest in Walton Land Fund Companies despite that these investments are not suitable for many investors, especially unsophisticated and conservative investors looking to preserve their capital […]

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