Category: Private placements
There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Chelsea Deng (CRD# 4179306) who lost money investing in private placements. She has been registered with Morgan Stanley in Beverly Hills, California, since 2019. She … Continue reading
Former Voya Financial Advisors, Inc. broker Ashley Woodard (CRD# 4703144) faces numerous customer complaints and recently settled multi-million dollar cases. He was registered with NYLife Securities LLC in Greenville, South Carolina, from 2017 to 2020. Previously, he was registered with … Continue reading
There are options for clients of Capital Investment Group, Inc. broker David Wilke (CRD# 2258159) who suffered GWG Holdings Inc. investment losses He has been registered with Capital Investment Group, Inc. in Jasper, Georgia, since 2018. Previously, he was registered … Continue reading
Former TCFG Wealth Management, LLC broker David McDonnell (CRD# 1757401) was barred by FINRA related to private security transactions. He was registered with TCFG Wealth Management, LLC in Laguna Beach, California, from 2016 to 2022, when he was terminated regarding, … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with McDonald Partners LLC broker Thomas McDonald (CRD# 326904). He has been registered with McDonald Partners LLC in Cleveland, Ohio, since 2005. In May … Continue reading
There are options for clients of former Wealthforge Securities, LLC broker Elizabeth Friant (CRD# 2122446), who is accused of private placement losses. She has been registered with FNEX Capital, LLC in Indianapolis, Indiana, since 2022. Previously, she was registered with … Continue reading
Were you the victim of private securities losses with former Saxony Securities, Inc. broker Peter Reinecke (CRD# 2085940)? He was registered with Saxony Securities, Inc. in Saint Louis, Missouri, from 2012 to 2022, and with LPL Financial LLC in Sunset … Continue reading
Erez Law is currently investigating former Green Vista Capital, LLC broker Randall Skrabonja (CRD# 1858245), who is accused of private placement investment losses. He was registered with Green Vista Capital, LLC in Winter Park, Florida, from 2019 to 2023, when … Continue reading
Erez Law is currently investigating Joseph Gunnar & Co. LLC broker Joseph Alagna Jr (CRD# 1840339) regarding private placement investment losses. He has been registered with Joseph Gunnar & Co. LLC in New York, New York, since 1997. Joseph Alagna … Continue reading
Former SW Financial CEO Thomas Diamante (CRD# 1645257) was suspended by FINRA for nine months related to private placement offerings. He was registered with and served as CEO and majority owner of SW Financial in Babylon Village, New York, from … Continue reading