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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Did Daryl Serizawa of Woodbury Financial Services Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Daryl Serizawa is currently employed by Woodbury Financial Services in Irvine, California. During the period 2012 through 2017 he was registered with Independent Financial Group in the same city. During Mr. Serizawa’s securities industry career as a salesperson he has been the subject of three customer complaints. One of those arbitrations was settled, one was denied and the third involving Mr. Serizawa and Woodbury Financial Services is still pending. We believe the pending complaint relates to Mr. Serizawa’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. Serizawa during his employment with Woodbury Financial Services and the Independent Financial Group; 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 Sean Kelly formerly employed by Center Street and Capital Financial Sell You Any GPB Fund Investments?

Let Us Help You Recover Your GPB Investment Losses Sean Joseph Kelly was formerly employed by Center Street Securities, Inc, and before that at Capital Financial Services, Inc. and other brokerages. During Mr. Kelly’s securities industry career as a salesperson he  has been criminally convicted and imprisoned for securities fraud, permanently enjoined and barred by the SEC from the securities industry, and the subject of six customer complaints. We believe two of these complaints relate to Mr. Kelly’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. Kelly during his employment with Center Street Securities and Capital Financial Services; 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 Mark Lee Robare employed by Triad Advisors LLC Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Mark Lee Robare is currently employed by Triad Advisors LLC in Houston, Texas.  During Mr. Robare’s securities industry career as a salesperson he has been the subject of one (1) customer complaint.  We believe the complaint relates to a private offer and sale of GPB Capital Holdings sponsored limited partnership interests which is pending. We are attorneys offering to help GPB  investors who made private placement investments in the following limited partnerships offered and sold by Mark Lee Robare during his employment with Triad Advisors LLC; 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 Jingbo Pan formerly employed by Coastal Equities, Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Jingbo Pan is currently not registered as a stockbroker.  During the period November 2018 through May 2019 he was registered with Axiom Capital Management, Inc. and prior thereto from April 2014 through August 2018 he was registered with International Assets Advisory, LLC.   During Mr. Pan’s securities industry career as a salesperson  he has been the subject of three (3) customer complaints.  We believe one of the complaints while he was employed by International Assets Advisory, LLC relates to  private offer and sale of GPB Capital Holdings sponsored limited partnership interests which is pending. We are attorneys offering to help GPB  investors who made private placement investments in the following limited partnerships offered and sold by Jingbo Pan during his employment with International Assets Advisory, LLC ; 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 Christopher Michael Ortiz employed by National Securities Corporation Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Christopher Michael Ortiz is currently employed by National Securities Corporation in New York, New York.  During Mr. Ortiz’s securities industry career as a salesperson he has been the subject of one (1) customer complaint.  We believe the complaint relates to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which is pending. We are attorneys offering to help GPB  investors who made private placement investments in the following limited partnerships offered and sold by Christopher Michael Ortiz during his employment with National Securities Corporation; 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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