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Articles Tagged with private placements

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

Christopher Neston (CRD#: 2741497), a registered representative with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, is involved in a pending customer dispute in which a client alleges that Christopher Neston “made unsuitable recommendations resulting in concentrated illiquid, alternative investments because they paid high commissions,” according to his BrokerCheck record accessed on August 15, 2019. […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that Minnesota-based Emergent Financial Group broker Peter Voldness has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voldness (CRD# 872727). Peter Voldness has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Michigan-based Hantz Financial Services broker/adviser John Beebe is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beebe (CRD# 4151293). […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Transamerica Financial Advisors broker/adviser William Byrd (CRD# 1334634). William Byrd has spent thirty years in the securities industry and has been registered with Transamerica Financial Advisors in Tampa, Florida since 2001. Previous registrations include Pruco […]

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