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…
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…
**Update: November 8, 2021** On April 15, 2021, FINRA’s Department of Enforcement filed disciplinary proceeding No. 2019063626703 against former Joseph Stone Capital broker Abdul Rahmani. On October 28, 2021, Mr. Rahmani submitted an Offer of Settlement to FINRA’s Department of Enforcement. On November 2, 2021, FINRA’s Department of Enforcement and…