Wealth Enhancement & Preservation CEO Named in Two Pending Investor Claims Triad Advisors stockbroker, Darrin Stuart Cohen, is currently the subject of two pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers collectively seeking $600K in damages. The allegations involve the unsuitability of investments, including alternative investments, that were…
Triad Advisors and its Ex-Florida-Based Broker Placed Claimants Funds In Too Risky GPB Capital & REIT Investments Two Utah retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Triad Advisors, Inc. over losses they suffered from investing in GPB private placements and privately traded real estate investment…
Watsonville, CA Financial Advisor is Also Barroga & Associates President If you are an investor who has suffered significant losses while working with Crown Capital Securities broker, Kenneth James Barroga, our California securities fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) want to talk to…
Senior Investor Seeks up to $500K in Damages For Loss of Savings A retiree from Texas has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Calton & Associates over losses he suffered in GPB Capital Holdings private placements and other non-publicly traded products. This investor is…
Ex-Concorde Investment Services Broker Allegedly Made Negligent Recommendations Robert Scott Smith, the President of Peregrine Private Capital in Newberg, Oregon, and a former Concorde Investment Services, is named in multiple Financial Industry Regulatory Authority (FINRA) arbitration claims by former customers that invested in GPB private placement funds at his recommendation. …
Charlotte, NC Advisor Is Named in GPB Private Placement Claims Robert Leo Luley, a financial advisor based in Charlotte, North Carolina, reportedly marketed and sold investments in GPB Automotive Portfolio from GPB Capital Holdings. The alternative asset firm is accused of running a $1.8B Ponzi scam that allowed brokers and…
Three Pending FINRA Arbitration Claims Accuse Triad Advisors Broker of Unsuitability Lee Duckworth, the CEO of investment advisory firm Capital Wealth Management and a Triad Advisors stockbroker, was recently named in three Financial Industry Regulatory Authority (FINRA) arbitration claims accusing him of making unsuitable investment recommendations to customers. At least…
Investor’s FINRA Arbitration Claim Seeks Damages of Up to $100K in GPB Private Placements and Other Securities A Florida retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm, National Securities Corp. The claimant contends that agents of National Securities Corp overconcentrated his account in…
Joseph Michaletz Named in Multiple Customer Disputes Since December 2019 Joseph Gerard Michaletz, a Dai Securities broker, is the subject of seven customer complaints that were filed over the last eight months. The allegations against him claim that he sold GPB private placements to customers for whom they were unsuitable. This…
Delayed Filing with the SEC Shows 45.2% Drop in AUM Over 18 Months Last month, GPB Capital Holdings finally filed its Form ADV with the US Securities Exchange Commission (SEC) after requesting an extension from the regulator in 2019. In the form, the alternative asset firm, which is already under…