Private placements

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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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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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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GPB Capital Holdings Losses with Former Kalos Capital, Inc. Broker Frederick Baerenz

Posted on Tuesday, November 12th, 2019 at 10:08 am    

Erez Law is currently investigating Kalos Capital, Inc. broker Frederick Baerenz (CRD# 2388453) who allegedly recommended unsuitable GPB Capital Holdings investments. Baerenz was registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high […]

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GPB Capital Holdings Losses with Former Kalos Capital, Inc. broker David Sweat

Posted on Monday, November 11th, 2019 at 8:37 pm    

Former Kalos Capital, Inc. broker David Sweat (CRD# 5502379) is accused of recommending unsuitable GPB Capital Holdings. Sweat has been registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is a New York-based investment firm that offers exempt, private-placement securities that inherently have a high degree of risk […]

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Kalos Capital, Inc. Broker Darren Kubiak GPB Capital Holdings Losses

Posted on Monday, October 21st, 2019 at 3:28 pm    

Erez Law is currently investigating Kalos Capital, Inc. broker Darren Kubiak (CRD# 1239086) regarding leveraged and inverse exchange traded funds (LIETFs) as well as investment losses due to unsuitable GPC Capital Holdings recommendations. Kubiak has been registered with Kalos Capital, Inc. in Alpharetta, Georgia since 2007. In October 2019, Kubiak was sanctioned to a $5,000 […]

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Did You Lose Money investing with Former Impactive Advisors LLC Broker Christopher Zelesnick?

Posted on Wednesday, October 16th, 2019 at 10:36 am    

Erez Law is currently investigating former Impactive Advisors LLC broker Christopher Zelesnick (CRD# 1257500) regarding investment losses due to private placements. Zelesnick has been registered with Allstate Financial Services, LLC in Elkins Park, Pennsylvania since May 2018. Previously, Zelesnick was registered with LPL Financial LLC in Braintree, Massachusetts from 2014 to 2015 and then with […]

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