Category: Private placements
There are options for clients of Royal Alliance Associates, Inc. broker Les Barber Jr. (CRD# 1256348) who suffered investment losses. Barber has been registered with Royal Alliance Associates, Inc. in South Jordan, Utah since 2013. Barber has been the subject … Continue reading
There are options for customers of former SagePoint Financial, Inc. broker Daniel Dillard (CRD# 4289333). Dillard has been registered with Union Capital Company in Austin, Texas from April to July 2019. Previously, Dillard was registered with Sagepoint Financial, Inc. in … Continue reading
Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Tyler Delahunt (CRD# 4419594) regarding selling away of private securities investments not approved by his member firm. Delahunt was registered with Merrill Lynch, Pierce, Fenner & … Continue reading
In December 2020, FINRA fined Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC $1 million, which included a $750,000 fine for Cetera Advisor Networks LLC, a $150,000 fine for Cetera Advisors LLC, and a $100,000 fine … Continue reading
In January 2021, a former client of Arete Wealth Management, LLC won an award in a FINRA arbitration for compensatory damages for $515,000 for losses sustained from GPB Capital Holdings investment losses. This is the first case in which a … Continue reading
Erez Law is currently investigating broker Gary Hammond (CRD# 2660432) regarding private securities investment losses. Hammond was registered with Hornor, Townsend & Kent, Inc. in Charlotte, North Carolina from August to December 2017. Previously, Hammond was registered with MML Investors … Continue reading
There are options for clients of former Triad Advisors LLC broker Michael Payne (CRD# 2289904) who suffered investment losses. Payne has been registered with Proequities, Inc. in Longwood, Florida since April 2018. Previously, Payne was registered with Barr Financial Services, … Continue reading
Were you the victim of former TD Ameritrade, Inc. broker Kwasi Aggor (CRD# 4974222)? Aggor was registered with TD Ameritrade, Inc. in Providence, Rhode Island from 2008 to 2018. In April 2020, FINRA barred Aggor after he, “consented to the … Continue reading
Were you the victim of Madison Avenue Securities, LLC broker Dennis Cirbo (CRD# 733633), who is accused of recommending unsuitable GPB Capital Holdings investments? Cirbo has been registered with Madison Avenue Securities, LLC in Lakewood, Colorado since 2011. GPB Capital … Continue reading
Cetera Advisor Networks LLC broker Jonathan Bever (CRD# 2603856) is accused of private placement investment losses. Bever has been registered with Cetera Advisor Networks LLC in Bellevue, Washington as well as Fulcrum Wealth Advisors, LLC in Bellevue, Washington since 2017. … Continue reading