Capital Financial Unsuitable Investment Attorney - Page 6 of 12

114 search results found for “Capital Financial Unsuitable Investment Attorney”

Jun 11, 2020

Did Luke M. Johnson formerly employed by Coastal Investment Advisors, LLC Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Luke M. Johnson was formerly employed by Coastal Investment Advisors, LLC in Scottsdale, Arizona. During Mr. Johnson’s securities industry career as a salesperson he has been the subject of fifteen (15) customer complaints. We believe at least ten of the complaints while he was employed by Coastal Investment Advisors, LLC relate to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which are still pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Luke M. Johnson during his employment with Coastal Investment 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

Jun 7, 2020

Did Gary Lee Imel formerly employed by Kalos Capital Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Gary Lee Imel is currently employed by Ameriprise Financial Services, Inc. in Gig Harbor, Washington. But during the period June 2014 through August 2017 he was registered with Kalos Capital Inc. and prior thereto from October 2006 through June 2014 he was registered with Madison Avenue Securities Inc. Both brokerages were aggressive sellers of GPB Capital Holdings sponsored limited partnership interests. During Mr. Imel’s securities industry career as a salesperson he has been the subject of three customer complaints. The results of those arbitrations were: one closed and two are pending. Both of the pending complaints relate to Mr. Imel’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests while he was working for Kalos Capital, Inc. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Gary Lee Imel 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

Jun 6, 2020

Did Kristian L. Finrock employed by Kalos Capital Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Kristian L. Finrock is currently employed by Kalos Capital Inc. and Retirement Income Strategies in Evansville, Wisconsin. During Mr. Finrock’s securities industry career as a salesperson he has been the subject of one customer complaint which is pending. We believe the complaint relates to Mr. Finrock’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 Kristian L. Finrock 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

Jun 3, 2020

Did Former Kalos Capital Broker Darren Michael Kubiak Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Darren Michael Kubiak was recently registered as a stockbroker with Kalos Capital, LLC until he was suspended and fined by FINRA for allegedly making unsuitable investment recommendations and misrepresenting the risk of certain investments. He remains employed by Kubiak Financial Services in Lawrenceville, Georgia. During Mr. Kubiak’s securities industry career as a salesperson he has been the subject of one FINRA regulatory complaint and four customer disputes which are pending. We believe that at least one of these complaints relate to Mr. Kubiak’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 Darren Michael Kubiak during his employment with Kalos Capital; 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

Jun 2, 2020

Did Matthew Crafa of Gateway Investments and Royal Alliance Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Matthew Crafa is currently employed by Gateway Investments and registered as a stockbroker with Royal Alliance Associates in Garden City, New York. On information and belief, the same Matthew Crafa maintains a residence in Boca Raton, Florida. During Mr. Crafa’s securities industry career as a salesperson he has been the subject of three customer complaints. We believe all three of these complaints relate to Mr. Crafa’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. Those matters still appear to be pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Mr. Crafa during his employment with Gateway Investments and Royal Alliance; 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

May 29, 2020

Did Former Kalos Capital Broker Daniel Ray Saur Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Daniel Ray Saur was recently registered as a stockbroker with Kalos Capital, Inc. and employed by D.R. Saur Financial, Inc. in Dallas, Texas. During Mr. Saur’s securities industry career as a salesperson he has been the subject of three customer complaints. The results of those arbitrations were: two settled and one withdrawn. We believe at least one of these complaints relate to Mr. Sauer’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. We are attorneys offering to help investors who made private placement investments in the following limited partnerships which may have been offered and sold by Daniel Ray Saur while associated 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

May 28, 2020

Did Former Kalos Capital Broker Christopher Shaw Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Christopher Shaw is currently employed by Pruco Securities in Belmont, North Carolina. However, during the period 2011 through 2019, he was employed with Kalos Capital, Inc. in the same city in North Carolina. During Mr. Shaw’s securities industry career as a salesperson, he has been the subject of three customer complaints. All three of those complaints arose in connection with his employment with Kalos Capital. We believe one or more of these complaints relate to Mr. Shaw’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. All of those matters still appear to be pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships that may have been offered and sold by Mr. Shaw during his employment with Kalos Capital; 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

May 27, 2020

Did Brian Frank of Ascendant Alternative Strategies Sell You Any GPB Fund or Any Other Private Placement Investment?

Let Us Help You Recover Your GPB Investment Losses! Brian Frank is currently employed by Ascendant Alternative Strategies, LLC since October 2017 in New York City, New York. During Mr. Frank’s securities industry career as a salesperson he has been the subject of three customer complaints. The results of those arbitrations were two settled in the investor’s favor and one remains pending. We believe the pending complaint relates to his private offer and sale of GPB Capital Holdings sponsored limited partnership interests and/or another private placement investment. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships which may have been offered and sold by Brian Frank during his employment with Ascendant Alternative Strategies; that is, help them to rescind their GPB investment and/or recover their GPB and/or any other private placement investment losses. The GPB Fund and other private placement investments we are inquiring about include the following: 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

May 26, 2020

Did Former Kalos Capital Broker Arni Jay Diamond Sell You Any GPB Funds?

Let Us Help You Recover Your GPB Investment Losses! Arni Jay Diamond is currently employed by Dempsey Lord Smith, LLC in Rome, Georgia. During the period July 2013 through September 2018 he was registered with Kalos Capital, Inc. and prior thereto from March 2008 through July 2013 he was registered with Berthel Fisher & Company Financial Services, Inc. During Mr. Diamond’s securities industry career as a salesperson he has been the subject of four (4) customer complaints and filed a Chapter 13 bankruptcy. We believe one of the complaints while he was employed by Kalos Capital, Inc. 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 Arni Jay Diamond 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 According to reliable sources, GPB Capital Holdings’ other funds also reported declines in an estimated value of 25% to 73%.

Mar 11, 2020

Kalos Capital Inc. Fined and Former Representative Darren Michael Kubiak Suspended for Misconduct

Kalos Capital Inc. and Darren Michael Kubiak submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which Kalos Capital was fined for allegedly failing to supervise Darren Michaels unsuitable recommendations all in violation of NASD Rules 3010(a) and 3010(b) and FINRA Rules 3110(a), 3110(b), 2111 and 2010. Darren M. Kubiak joined Kalos Capital as an investment company and variable contracts products representative in January 2007. According to FINRA Kubiak recommended the purchase of Leveraged and Inverse Exchange Traded Funds (LIETFs) to 17 customers without having a sufficient understanding of the risks and features. The FINRA findings stated that the customers only held the LIEFTs for 722 days during which they incurred losses of $98,000. FINRA also stated that the Kalos Capital Inc. failed to ensure Kobiak had reasonable basis to recommend the LIEFT’S and failed to enforce its supervisory system designed to ensure compliance of laws, regulation, NASD and FINRA Rules in relation to the sales. In addition, FINRA stated that Kalos Capital failed to provide training to all representatives before permitting them to sell the product.

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114 search results found for “Capital Financial Unsuitable Investment Attorney”