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Articles Tagged with private placements

Joseph Michaletz (CRD#: 1327534), a broker with Dai Securities LLC (CRD: 36673) in Mankato, Minnesota and a Registered Investment Adviser (RIA) with Dai Wealth, Inc. (CRD#: 138938) in Atlanta, Georgia, is currently involved in five pending investor disputes over GPB, according to his BrokerCheck record accessed on June 25, 2020. These investors allege that Joseph […]

Kevin Rainwater (CRD#: 3098443), a registered representative with Arkadios Capital (CRD#: 282710) in Atlanta, Georgia, is currently involved in four pending customer disputes over unsuitable investments, according to his BrokerCheck record accessed on June 10, 2020. The customers are seeking at least $875,000 in damages. Read on to learn more. On April 26, 2019, a […]

Christopher Shaw (CRD#: 5011382), a registered representative with Pruco Securities LLC (CRD#: 5685) in Charlotte, North Carolina, is currently involved in three pending customer disputes, according to his BrokerCheck record accessed on May 5, 2020.  What led these customers to file complaints against Christopher Shaw? Read on to find out.  On July 8, 2019, a […]

Dan King (CRD#: 5954543), a registered representative with Benchmark Investments, Inc. (CRD#: 103792) in New York, New York, is currently in a pending customer dispute in which a client is seeking over $3 million in damages, according to his BrokerCheck record accessed on April 2, 2020.  On February 3, 2020, a customer filed a complaint […]

Dustin Shafer (CRD#: 4198962), a registered representative with Newbridge Securities Corporation (CRD#: 104065) in Springfield, Illinois, is currently involved in two pending customer disputes in which clients are seeking $629,000 in damages, according to his BrokerCheck record accessed on February 20, 2020. On January 3, 2020, a customer alleged that Dustin Shafer misrepresented private placements […]

Rod Potratz (CRD#: 2367896), a registered representative with FSC Securities Corporation (CRD#: 7461) in Clive, Iowa, is currently involved in a customer dispute in which a client is seeking $6 million in damages, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 21, 2019, clients […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Robert Gianchiglia (CRD#: 2117250), a registered representative with USA Financial Securities Corporation, is current involved in a $200,000 customer dispute, according to his BrokerCheck report accessed on January 7, 2020. Why is Robert Gianchiglia involved in this customer dispute? Clients, who filed the complaint on November 19, 2019, allege that Robert Gianchiglia misrepresented a private […]

William Braun (CRD#: 1271500), a registered representative with National Securities Corporation (CRD#: 7569), is currently involved in five customer disputes over private placements and unsuitable investment recommendations, according to his BrokerCheck record accessed on January 8, 2020. On October 18, 2019, William Braun became involved in a $200,000 customer dispute. A customer alleges that he […]

John Hoidas (CRD#: 1937971), a registered representative with Uhlmann Price Securities, LLC (CRD#: 42854) in Chicago, Illinois, is currently involved in four pending customer disputes in which clients allege that he recommended unsuitable private placements, including GPB Capital Holdings II, according to his BrokerCheck record accessed on December 18, 2019. On November 5, 2019, John […]

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