Category: Private placements
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 … Continue reading
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 … Continue reading
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 … Continue reading
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 … Continue reading
Were you the victim of former Cadaret, Grant & Co., Inc. broker Gerald Dewes (CRD# 2465538) who is accused of unsuitable investment recommendations? He has been registered with Cadaret, Grant & Co., Inc. in East Amherst, New York from 2014 … Continue reading
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. … Continue reading
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 … Continue reading
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 … Continue reading
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 … Continue reading
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 … Continue reading