Category: Private placements
Portsmouth Financial Services broker Raymond Lent (CRD# 817645) is accused of GWG Holdings Inc. L Bonds losses. He has been registered with Portsmouth Financial Services in San Rafael, California, since 2010. In March 2019, the Securities and Exchange Commission (SEC) … Continue reading
There are options for clients of MML Investors Services, LLC broker Darien Bonney (CRD# 4899007), who lost money related to promissory notes investments. He was registered with MML Investors Services, LLC in Scottsdale, Arizona, from 2007 to 2022, when he … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Guy Presutti (CRD# 1196621), who is accused of unsuitable investment recommendations. He has been registered with Oppenheimer & … Continue reading
Erez Law is currently investigating former Cabot Lodge Securities LLC broker David Arlein (CRD# 7145), who is accused of GWG Holdings Inc. L Bonds investment losses. He was registered with Cabot Lodge Securities LLC in Boca Ration, Florida, from 2014 … Continue reading
Former Coastal Equities, Inc. broker Kevin Canterbury (CRD# 4939385) is alleged to have recommended unsuitable GPB Capital Holdings investments. He was registered with Coastal Equities, Inc. in Scottsdale, Arizona, from 2012 to 2020. GPB Capital Holdings is a New York-based … Continue reading
Were you the victim of investment losses with Capital Investment Group, Inc. broker Tammie Farrell (CRD# 2475931)? She has been registered with Capital Investment Group, Inc. in Franklin, North Carolina, since 2012. Tammie Farrell Customer Complaints She has been the … Continue reading
Former JRL Capital Corporation broker Larry Law (CRD# 1273118) is accused of GWG Holdings Inc. investment losses. He has been registered with Great Point Capital LLC in Newport Beach, California, since May 2023 and with JRL Capital Advisors LLC in … Continue reading
Erez Law is currently investigating Arive Capital Markets broker Ricardo Rose (CRD# 4225756), who is accused of GWG Holdings Inc. investment losses. He has been registered with Arive Capital Markets in Staten Island, New York, since 2015. Previously, he was … Continue reading
Erez Law is currently investigating Dempsey Lord Smith, LLC broker Travis Jennings (CRD# 5753812) regarding GWG Holding Inc.’s L Bonds losses. He was registered with Dempsey Lord Smith, LLC in Tampa, Florida, from 2018 to 2019. Travis Jennings Customer Complaints … Continue reading
Former American Equity Investment Corporation broker Kenneth Baize (CRD# 5713738) is accused of investment losses related to GWG Holdings Inc. He has been registered with LPL Financial LLC in Louisville, Kentucky, since 2019. Previously, he was registered with American Capital … Continue reading