Cascade Financial Management, Inc. was formed in May 2001 and was headquartered in Denver, Colorado. The firm terminated or withdrew its registration with FINRA in December 2020. Former Cascade Financial Management, Inc. broker Daniel Alex Cantarovici was the subject of one regulatory disclosure involving GPB Capital funds. He was registered…
Capital Financial Services, Inc. was formed in August 1980 and was headquartered in Minot, North Dakota. FINRA canceled the firm’s license in October 2020 for failure to pay outstanding fees. Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The…
DH Hill Securities, LLLP is a broker-dealer headquartered in Kingwood, Texas. The firm was formed in June 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 investment advisers who would,…
International Assets Advisory, LLC is a broker-dealer and registered investment advisor (RIA) headquartered in Orlando, Florida. The firm has faced FINRA arbitration complaints from customers seeking to recover GPB investment losses. Houston-based broker Williams Keen Butcher was involved in one such customer complaint. He has been registered with International Assets…
Western International Securities, Inc. is a broker-dealer and registered investment adviser (RIA) headquartered in Pasadena, California. The firm was formed in April 1995. 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…
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Dellaporta, Jr. from the securities industry. Mr. Dellaporta was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation into an outside business activity. Mr. Dellaporta, who was a broker for over forty years, most recently worked…
Iorio Altamirano LLP is currently investigating MSC – BD, LLC, and veteran stockbroker Robert Fehrman for recommending that clients invest in private placement securities issued by GPB Capital. Mr. Fehrman and MSC – BD, LLC are currently the subject of a customer dispute related to his recommendation of GPB Automotive…
Iorio Altamirano LLP is currently investigating former Axiom Capital Management, Inc. broker Michael Packman, who reportedly recommended that his customers invest in private placement securities issued by GPB Capital. The GPB notes, which are private securities offerings exempt from registration with the Securities and Exchange Commission (SEC), are inherently risky…
Iorio Altamirano LLP is currently investigating former MML Investor Services, LLC broker Oscar Francis, who reportedly recommended that his customers invest in private placement securities issued by GPB Capital. The GPB notes, which are private securities offerings exempt from registration with the Securities and Exchange Commission (SEC), are inherently risky…
Iorio Altamirano LLP is currently investigating former Coastal Equities, Inc. broker Kevin Canterbury who is facing three securities arbitration claims related to recommendations to invest in Direct Participation Program and Limited Partnership interests, believed to be private placement securities issued by GPB Capital. Kevin Canterbury operated his own independent advisory…