Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: gpb capital
Results 30-40 of about 86
Date: January 11, 2021
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 ...
Date: January 6, 2021
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 ...
Date: December 15, 2020
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 ...
Date: November 9, 2020
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 ...
Date: November 2, 2020
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. ... There are several GPB funds, ...
Date: October 2, 2020
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 ...
Date: September 25, 2020
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. ... This included ...
Date: September 16, 2020
Michael Cohn Allegedly Stole Information About SEC Probe Into GPB Ponzi Scam Allegations Nearly a year after he was charged with obstruction of justice, Michael Cohn, the former Chief Compliance Officer of GPB Capital Holdings, has pleaded guilty to the ...
Date: August 3, 2020
The allegations against him claim that he sold GPB private placements to customers for whom they were unsuitable. ... GPB Capital Holdings LLC is accused of operating a $1.8B Ponzi scam. Many brokers and their firms did not perform the ...
Date: July 27, 2020
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.
