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Articles Tagged with private placements

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 […]

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 […]

Wayne Miller (CRD#: 4813645), a broker with Aeon Capital Inc. (CRD#: 164004) in Scottsdale, Arizona, is currently involved in two pending customer disputes over private placements, according to his BrokerCheck record accessed on January 3, 2020. What happened to lead to these two recent customer disputes over private placement offerings? On October 10, 2019, Wayne […]

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). […]

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