Former Global Financial Private Capital, LLC broker John Anderson (CRD# 5922928) is accused of unauthorized trades. He has been registered with Anderson Advisors, Inc. in
Gainesville, Georgia, since 2022. Previously, he was registered with AE Wealth Management, LLC in Gainesville, Georgia, from 2018 to 2023, and with Global Financial Private Capital, LLC in Gainesville, Georgia, from 2011 to 2018.
John Anderson Customer Complaints
He has been the subject of two customer complaints between 2022 and 2023, according to his SEC Investment Adviser Public Disclosure report:
May 2023. “Client alleges violation of Georgia Securities Act, negligent misrepresentation, and breach of fiduciary duty by the Advisor in regards to the risks and benefits of the purchased annuity products. Alleged activity took place in 2018 through 2022.” The customer is seeking $600,000 in damages, and the case is currently pending. The complaint was regarding fixed annuities, and it took place while he was registered with AE Wealth Management, LLC and Global Financial Private Capital, Inc.
March 2022. “Clients allege the unauthorized sale of 4000 shares of stock. Alleged events took place: March 28, 2018.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding equity OTC, and it took place while he was registered with Global Financial Private Capital, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Global Financial Private Capital, LLC may be liable for investment or other losses suffered by John Anderson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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