Woodmere, New York Private Placement Investment Dispute Attorney

Did Dalmore Group LLC Cause You Investment Losses? Dalmore Group LLC of Woodmere, New York submitted Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which they were censured and fined $40,000. The sanctions were based on findings that the firm failed to establish and maintain a supervisory system, including written supervisory procedures, and failed to submit required offering documents to FINRA in violation of FINRA Rules 3110, 5123, and 2010. Since November 2005, Dalmore Group LLC (Dalmore) has been registered with FINRA and has approximately 40 registered representatives in their three branches. According to FINRA’s findings, from April 2017 through February 2019, Dalmore failed to conduct and document investigations regarding two private placements by relying almost exclusively on the issuers, before they allowed them to be recommended and sold. The findings state that as a result of the misconduct, the firm failed to uncover relevant information on the issuer of the private placements. In addition, FINRA findings state that Dalmore failed to file offering documents for 26 private placements within the allowed 15 calendar days and instead made its filings from 16 days to 335 days after the date of the first sale. FINRA Rule 3110(a) requires that FINRA members “establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules.” FINRA Rule 3110(b) requires that each FINRA member “establish, maintain, and enforce written procedures to supervise the types of business in which it engages and the activities of its associated persons that are reasonably designed to achieve compliance with the applicable securities laws and regulations, and with applicable FINRA Rules.” A violation of FINRA Rule 3110 also constitutes a violation of FINRA Rule 2010, which requires member firms to “observe high standards of commercial honor and just and equitable principles of trade.” A broker-dealer has a duty to conduct a reasonable investigation concerning any private placement offering that it recommends and sells to its customers. FINRA Regulatory Notice 10-22 explains that the amount and nature of the investigation turns on various factors, including, but not limited to, “the nature of the recommendation, the role of the broker in the transaction, its knowledge and relationship to the issuer, and the size and stability of the issuer.” Regulatory Notice 10-22 further reminds firms that they must have supervisory procedures that are reasonably designed to ensure, among other things, that the firm’s personnel investigate each private placement the firm recommends and that they do so in a manner that is sufficiently rigorous to comply with all legal and regulatory requirements. FINRA Rule 5123 requires that a member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act of 1933 must: (i) submit to FINRA, or have submitted on its behalf, a copy of any private placement memorandum, term sheet or other offering document, used in connection with such sale within 15 calendar days of the date of first sale, or (ii) notify FINRA that no such offering documents were used. Rule 5123 was implemented to “enhance oversight and investor protection” and provide “more timely and complete information about the private placement activities of firms on behalf of other issuers. Do You Need a New York Attorney for a Private Placement Investment Dispute? Are you a Woodmere, New York investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New York stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  Free Initial Consultation With Experienced Private Placement Investment Attorneys Serving Woodmere, New York Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout New York, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Aliso Viejo, California Private Placement Investment Dispute Attorney

Did Jeffrey David Stanga Cause You Investment Losses? Jeffrey David Stanga of Aliso Viejo, California submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which he was fined $10,000, suspended from association with any FINRA member in all capacities for a period of 12 months and ordered to pay disgorgement of benefits received in the amount of $28,359, plus interest. The sanctions were based on findings that he allegedly failed to fully disclose his outside business activities and participated in private securities transactions in violation of FINRA Rules 3270, 3280, and 2010. The suspension is in effect from April 5, 2021, through April 4, 2022. In October 2014, Jeffrey David Stanga joined FMN Capital while registered as a General Securities Representative. According to FINRA’s findings, Stanga allegedly participated in outside business activities and private transactions without notice or approval from his member firm. The findings state that although Stanga had informed his firm of certain outside business activities, he failed to disclose the fact that he served as a manager for an investment-related business and previously sold promissory notes of approximately $1,160,000 to four investors in connection with a real estate brokerage firm. In addition, Stanga received $28,359 in referral fees in connection with the private transactions that he was ordered to pay back. Although Jeffrey David Stanga is no longer registered with a FINRA member firm, he remains subject to FINRA’s jurisdiction. FINRA Rule 3270 provides that “[n]o registered person may be an employee,  independent contractor, sole proprietor, officer, director or partner of another person, or  be compensated, or have the reasonable expectation of compensation, from any other  person as a result of any business activity outside the scope of the relationship with his or  her member firm, unless he or she has provided prior written notice to the member, in  such form as specified by the member.” A violation of FINRA Rule 3270 is also a violation of FINRA Rule 2010. FINRA Rule 3280, and its predecessor, NASD Rule 3040, requires that prior to  participating in a private securities transaction, a person associated with a member firm  shall provide written notice to his or her firm, “describing in detail the proposed  transaction and the person’s proposed role therein and stating whether he has received or  may receive selling compensation in connection with the transaction.” Do You Need a California Private Placement Investment Attorney? Are you an Aliso Viejo, California investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your California stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  Free Initial Consultation With Experienced Private Placement Investment Lawyers Serving Aliso Viejo, California Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Englewood, New Jersey Private Placement Investment Dispute Attorney

Did Tonya Nicole Smoake Cause You Investment Losses? Tonya Nicole Smoake of Englewood, New Jersey submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was fined $5,000 and suspended from association with any FINRA member in all capacities for a period of 12 months. The sanctions were based on findings that she participated in private securities transactions in violation of FINRA Rules 3280 and 2010. The suspension is in effect from April 5, 2021, through April 4, 2022. In March 2017, Tonya Nicole Smoake joined Purshe Kaplan Sterling Investments while registered as a General Securities Representative. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that she had voluntarily resigned due to alleged misconduct. According to FINRA’s findings, Smoake allegedly participated in private securities transactions involving approximately $1.6 million without providing prior written notice to the firm. The findings state that Smoake distributed offering documents to the investors, gathered the signed documents, answered the investors questions, and coordinated all payments. In addition to the findings, Smoake did not receive any commissions from the sales and falsely attested her involvement in any private securities transactions on the firm’s annual compliance questionnaires . Although Tonya Nicole Smoake is not currently registered or associated with a FINRA member, she remains subject to FINRA’s jurisdiction. Do You Need a New Jersey Private Placement Investment Attorney? FINRA Rule 3280(b) states that “prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction and the person’s proposed role therein and stating whether he has received or may receive selling compensation in connection with the transaction.” FINRA Rule 3280(e) defines “private securities transaction” as “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010, which provides that representatives of member firms “shall observe high standards of commercial honor and just and equitable principles of trade.” Are you a New Jersey investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your New Jersey stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  Free Initial Consultation With Experienced Private Placement Investment Attorneys Serving Englewood, New Jersey Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout New Jersey, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Mesa, Arizona Private Placement Investment Dispute Lawyer

Did Scott Wayne Reed Cause You Investment Losses? Scott Wayne Reed of Mesa, Arizona submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred from association with any FINRA member in all capacities. The sanction was based on findings that he recommended and participated in private securities transactions in violation of FINRA Rules 3280 and 2010. On April 11, 2016, Scott Wayne Reed joined Wells Fargo Clearing Services, LLC while registered as a General Securities Representative, General Securities Principal and General Securities Sales Supervisor. The firm later filed a Uniform Termination Notice for Securities Industry Registration (Form U5) in April 2020, disclosing that Reed voluntarily terminated his registration from the firm due to alleged misconduct. According to FINRA’s findings, Reed participated in private securities transactions by soliciting at least six individuals to invest $3.5 million in securities issued by a software and web development company. The findings state that Reed received a selling compensation of $191,340 and allegedly failed to provide prior notice or obtain the firm’s approval to participate in the private securities transactions. Although Scott Wayne Reed is not currently registered or associated with a FINRA member, he remains subject to FINRA’s jurisdiction. FINRA Rule 3280 prohibits each associated person from “participating in any manner in a private securities transaction” without first giving his or her firm written notice that “describes in detail the proposed transaction,” the proposed role in the transaction, and “whether he has received or may receive selling compensation in connection with the transaction.” A violation of FINRA Rule 3280 is also a violation of FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Do You Need an Arizona Private Placement Investment Attorney? Are you an Arizona investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your Arizona stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to have representation by an experienced, highly rated, and nationally recognized FINRA securities arbitration law attorney—an attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  Free Initial Consultation With Experienced Private Placement Investment Lawyers Serving Mesa, Arizona Residents In FINRA Arbitration Proceedings At The Law Offices of Robert Wayne Pearce, P.A.  we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Arizona, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Arizona citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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Glendale, California Securities Attorney For Private Placement Investment Dispute

Did Robert Tweed Cause You Investment Losses? Robert Russel Tweed of Glendale, California appealed an Office of Hearing Officers (OHO) decision to the National Adjudicatory Council (NAC) in which he was fined $50,000 and prohibited from association with any FINRA member in all capacities for allegedly violating FINRA Rule 2010 and Sections 17(a)(2) and (3) of the Securities Act of 1933.  The sanctions are not yet effective, pending review of the OHO decision by the NAC. Robert Tweed owned and controlled an investment advisory firm called Tweed Financial Services, Inc. that served as the general partner of Athenian Fund LP (Athenian), the hedge fund also owned and controlled by Mr. Tweed.  FINRA’s findings stated that between November 2009 and March 2010, through a false and misleading private placement memorandum (PPM), Mr. Tweed obtained $1.6 million from 23 retail customers.  The OHO found that Mr. Tweed used the PPM to offer and sell interests in Athenian.  Mr. Tweed allegedly did not disclose that he incurred losses by using the fund’s money in investments instead of a fund that would use a quantitative stock trading algorithm.  FINRA’s OHO also found that Mr. Tweed failed to disclose that he replaced the entity that would trade the hedge fund’s capital with another entity controlled by another person managing the assets, and Mr. Tweed received a share of the fees that lowered the return on investors’ money. Do You Need an Attorney for a Private Placement Investment Dispute? California has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your California stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving California Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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North Carolina Securities Attorney For Private Placement Investment Dispute

Did Carolina Financial Securities, LLC Cause You Investment Losses? Brevard, North Carolina-based Carolina Financial Securities, LLC (Carolina Financial) agreed to, without admitting or denying, the described penalties and to the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that it failed to supervise the sale of an unregistered private placement offering to investors with investments of approximately $1.1 million.  FINRA found that Carolina Financial failed to follow its procedures pertaining to the review and verification of statements made in private placement offering documents.  In addition, FINRA found that the brokerage firm did not conduct adequate due diligence prior to the approval of the offering for sale to its investors. FINRA’s findings stated that Carolina Financial failed to supervise several aspects of the offering’s private placement memorandum (PPM).  First, Carolina Financial neglected to make sure that the PPM included all necessary material information.  Second, Carolina Financial neglected to review the underlying loan agreement for the property which was involved in the offering.  Third, the firm neglected to notice that the PPM did not disclose a material capital call provision in the aforementioned loan agreement.  Lastly, Carolina Financial approved the private placement offering to its investors without confirming the details of the loan agreement made in the PPM.  As a result, Carolina Financial was censured and fined $50,000 by FINRA. North Carolina has thousands of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and North Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout North Carolina and Nationwide. Are you a North Carolina investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your North Carolina stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout North Carolina, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving North Carolina Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving North Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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South Carolina Securities Attorney For Private Placement Investment Dispute

Did Robert David Meyers Cause You Investment Losses? Robert David Meyers of Kiawah Island, South Carolina, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Mr. Meyers received a fine and suspension by the Financial Industry Regulatory Authority (FINRA) for allegations of engaging in private securities transactions in violation of FINRA Rules 3280 and 2010.  Mr. Meyers registered with Wells Fargo as a General Securities Representative (GS) in July 2007.  According to FINRA’s findings, Mr. Meyers engaged in private securities transactions by soliciting, facilitating and recommending private equity investments.  FINRA’s investigators found that the securities were offered by three private equity funds to 26 Wells Fargo customers who made investments totaling $1.9 million, without written notice to or authorization from his firm.  FINRA found that Wells Fargo filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Mr. Meyers was terminated due to the recommendations not offered through the firm.  Mr. Meyers did not receive any compensation from the private equity funds resulting from his participation. Without admitting or denying FINRA’s allegations, Robert David Meyers was assessed a deferred fine of $20,000 and received a suspension from associating with any FINRA member in all capacities for 12 months.  South Carolina has hundreds of stock brokerage firms and investment advisory offices.  With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and South Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.  Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout South Carolina and Nationwide. Are you a South Carolina investor who has suffered significant losses in your stock brokerage and investment accounts?  Did your South Carolina stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues.  By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements.  Attorney Pearce and his staff represent investors throughout South Carolina, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving South Carolina Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A.  are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case.  For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving South Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. 

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Did Eric Weschke of Kalos Capital Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Eric Peter Weschke has been employed by Kalos Capital, Inc. and Weschke Wealth Management in Setauket, New York since 2011.  During his illustrious securities industry career as a salesperson he has managed to be the subject of two regulatory complaints and fourteen customer complaints. Ohio denied him registration in the state because it “determined that Weschke was not of good business repute.”  Nine of those arbitrations were settled in the investors’ favor, two were denied and three remain pending.  We believe all of the pending complaints relate to Mr. Weschke’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Mr. Weschke during his employment with Kalos Capital, Inc.; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

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Did Former Triad Advisors Broker Michael Sievert Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Michael Sievert is currently employed by Arkadios Capital in Jacksonville, Florida. But during the period 2012 though 2018 he was registered with Triad Advisors, LLC in the same city. His securities industry career as a salesperson is not unblemished; he has been the subject of two customer complaints, both of which are still pending. We believe both of these complaints relate to Mr. Sievert’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Mr. Sievert during  his employment with Triad Advisors; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

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Did Dustin Shafer of Newbridge Securities and formerly with Money Concepts Capital Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Dustin Shafer is currently employed by Newbridge Securities Corporation in Springfield, Illinois. During the period 2008 through 2019 he was registered with Money Concepts Capital Corp. in the same city. During Mr. Shafer’s securities industry career as a salesperson he has been the subject of seven customer complaints. His BrokerCheck Report also discloses six Judgement/Liens. We believe the two pending complaints relate to Mr. Shafer’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests while his was associated with Money Concepts Capital. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Mr. Shafer during his employment with Money Concepts Capital Corp. ; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

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