Did Brookville Capital And Anthony Lodati Cause You Investment Losses?
Melville, New York-based Brookville Capital Partners LLC (Brookville Capital) and the firm’s president, Anthony F. Lodati, were named in a Financial Industry Regulatory Authority (FINRA) complaint claiming that the firm and Mr. Lodati defrauded investors pertaining to a private placement offering. According to FINRA’s complaint, Brookville Capital and Mr. Lodati solicited customers to invest in a private placement offering that did not disclose material facts about an individual involved in the offering. Anthony Lodati allegedly discovered that the individual, who had effected transactions on behalf of the private placement, was fined by the Securities and Exchange Commission (SEC) for securities fraud and was convicted of a felony by the state of Florida. FINRA found that Mr. Lodati failed to inform any of the potential investors of the individual’s involvement. In addition, the private placement memorandum (PPM) allegedly made no mention of the individual or of his regulatory or criminal background. FINRA alleged that Brookville Capital failed to conduct proper due diligence regarding the private placement offering, alleging that the firm and Mr. Lodati “lacked a reasonable basis to believe that the recommendation of the private placement could be suitable for any customer.”
Do You Need A Securities Attorney For Private Placement Investment Dispute?
New York 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 New York 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 New York and Nationwide.
Are you a 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 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 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.
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Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving New York 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 New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.