Vestech Securities, Inc. is a full-service brokerage and advisory firm headquartered in St. Louis, Missouri. The firm was formed in March 1996. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed to independent broker-dealers and…
DFPG Investments, Inc. is a broker-dealer headquartered in Salt Lake City, Utah. The firm was formed in 2010. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed to independent broker-dealers and investment advisers who would,…
David A. Noyes & Company (a.k.a Sanctuary Securities, Inc.) is a broker-dealer headquartered in Indianapolis, Indiana. The firm was formed in 1978. According to publicly available records filed with the SEC, David A. Noyes & Company likely received sales compensation for selling the GPB funds to retail investors. Iorio Altamirano…
Iorio Altamirano LLP is investigating claims on behalf of Independent Financial Group, LLC customers after the firm was censured and fined $200,000 by FINRA. The sanctions involve supervisory failures related to a registered representative’s unsuitable recommendations to customers, including seniors. In addition to the censure and fine, the firm also…
FINRA has barred former LPL Financial LLC broker John Scott from the securities industry. According to FINRA, the matter originated from an investigation of Mr. Scott’s potential participation in certain private placement offerings. If you have lost money with John Scott, or LPL Financial LLC, contact New York securities arbitration lawyers…
HighTower Securities, LLC was formed in June 2001 and is headquartered in Illinois, Chicago. The firm is under common control with HighTower Advisors, LLC, a registered investment advisor (RIA). According to legal filings, HighTower Advisors, LLC facilitated the sale of some of the partnership interests of the GPB funds. Iorio…
Private Client Services, LLC is an independently owned, full-service broker-dealer. The firm was formed in February 2001 and is headquartered in Louisville, Kentucky. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed to independent broker-dealers…
Innovation Partners, LLC is a financial services and consulting firm headquartered in Charlotte, North Carolina. The firm was formed in November 2007. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed to independent broker-dealers and…
Kingsbury Capital, Inc. was formed in December 2000 and was headquartered in Evanston, Illinois. The firm terminated or withdrew its registration with FINRA in December 2019. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed…
Detalus Securities, LLC was formed in November 1999 and was headquartered in St. Louis, Missouri. The firm terminated or withdrew its registration with FINRA in October 2020. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were…