Category: Private placements
Erez Law is currently investigating former Colorado Financial Service Corporation financial advisor Tracy Turner (CRD# 1385745) regarding private securities transactions in saltwater disposal well facilities (SWDs). Turner was registered with Colorado Financial Service Corporation in Carlsbad, California from 2012 to … Continue reading
Erez Law is currently investigating former RBC Capital Markets, LLC financial advisor Patrick Hudson (CRD# 2082798) regarding outside private securities transactions. Hudson was registered with RBC Capital Markets, LLC in Baltimore, Maryland from 2002 to 2015, before he was terminated … Continue reading
Erez Law is currently investigating former Oneamerica Securities, Inc. financial advisor Patrick Howard (CRD# 5153247) regarding a fraudulent offering of investments in private funds. Howard was registered with Oneamerica Securities, Inc. in Dallas, Texas from 2010 to 2015 before he … Continue reading
In June 2017, former clients of Accelerated Capital Group won an award in a FINRA arbitration for compensatory damages of $58,333 and $116,667 for losses sustained from investments in the Aequitas Commercial Finance Secured Subordinated Promissory Notes (“ACF Notes”). The … Continue reading
Erez Law is currently investigating Commonwealth Financial Network financial advisor Lloyd Henry Dotson (CRD# 2551716) regarding private securities transactions and conducting outside business activities. Dotson has been registered with Commonwealth Financial Network in New Canaan, Connecticut from 2006 before he … Continue reading
Erez Law is currently investigating former UBS Financial Services financial advisor William Andrew Hightower (CRD# 2152369) regarding recommendations for investments in unapproved private securities transactions. Hightower was registered UBS Financial Services Inc. in Houston, Texas from 2007 to 2013 and … Continue reading
Erez Law is investigating customer complaints against VFG Securities and brokerage firms across the United States for overconcentration of Macquarie Equipment Leasing Fund, LLC, a private placement. Based in Australia, Macquarie Equipment Leasing Fund provides individual investors in the United … Continue reading