CA Dept. of Business Oversight Settles Claim Over George Pidgeon Fund Raising for Francis Capital Management The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sales activity of George Pidgeon, a former registered representative with Triple A Partners of Los Angeles, CA. Pidgeon’s…
Michael Carter Foresters Equity Services broker Woodbridge Mortgage Fund investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Michael Carter a registered representative formerly affiliated with Foresters Equity Services in Henderson, Nevada. The pending investigation concerns investments made…
Wedbush Securities Bryan Gill activities subject of Nevada Secretary of State Order securities attorneys at The Law Office of David Liebrader have opened an investigation into the sales activity of Bryan Gill, a North Las Vegas based former registered representative and investment advisor formerly affiliated with Wedbush Securities, who was…
Former Securities America Broker Jeremy Kisner Conduct Subject of NV Secretary of State Action The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sales activity of Jeremy Kisner, a Phoenix based investment advisor formerly affiliated with Securities America, and formerly doing business out…
Activities of Ricardo Cabrera subject of Nevada Secretary of State’s Administrative Order against G.F. Investment Services. The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sales activity of Ricardo Cabrera, a Las Vegas based investment advisor formerly affiliated with G.F. Investment Services as…
Michael Bayliss Investigation In August, 2019, a FINRA arbitrator panel sitting in Reno, Nevada made an award in excess of $700,000 in favor of an investor in the Michael Bayliss Wealth Strategies Fund. The award was made against TD Ameritrade for failing to properly vet the Michael Bayliss investment. Among…
Lucia Securities investigation into variable annuity and non-traded REIT sales The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sale of illiquid and high risk securities by a Henderson, NV based FINRA registered representative with Lucia Securities (aka Lucia Capital Croup). The pending…
GPB Capital Holdings the subject of regulator complaints FINRA, the securities industry regulator has opened an investigation into GPB Capital Holdings, a New York based investment firm that has raised nearly $2 billion from investors nationwide through a series of private placements. This is in addition to an investigation by…
Kalos Capital investigation into non-traded REIT and private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the private placement activity of Kalos Capital, an Alpharetta, Georgia based broker dealer with offices in Las Vegas, Nevada. The pending customer complaint that gives rise…
FINRA suspends Waco Texas broker Michael Kamperman for 20 months Michael Kamperman, a registered representative from Waco, Texas, formerly with H.D. Vest Investment Services and Prospera Financial Services, was suspended from FINRA membership as a result of an investigation into securities related activity conducted by regulator FINRA. Findings made in…