Articles Posted in Firm Investigations

Published on: | by

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 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, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer HighTower Securities, LLC likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with HighTower Securities, LLC, you may have a claim.

Continue reading

Published on: | by

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 and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Private Client Services, LLC likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Private Client Services, LLC, you may have a claim.

Continue reading

Published on: | by

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 investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Innovation Partners, LLC likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Innovation Partners, LLC, you may have a claim.

Continue reading

Published on: | by

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 to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Kingsbury Capital, Inc. likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Kingsbury Capital, Inc., you may have a claim.

Continue reading

Published on: | by

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 marketed to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Detalus Securities, LLC likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Detalus Securities, LLC, you may have a claim.

Continue reading

Published on: | by

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 with the firm between April 2002 and October 2017.

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, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Cascade Financial Management, Inc. likely received sales compensation for selling the GPB funds to retail investors.

Continue reading

Published on: | by

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 GPB funds were marketed to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Capital Financial Services, Inc. likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Capital Financial Services, Inc., you may have a claim.

Continue reading

Published on: | by

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, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, DH Hill Securities, LLLP likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with DH Hill Securities, LLLP, you may have a claim.

Continue reading

Published on: | by

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 Advisory since April 2015. Additionally, former firm broker Jingbo Pan may have recommended GPB Capital funds or other investments in private placement offerings to clients. He was registered with the firm between April 2014 and August 2018.

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, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, International Assets Advisory, LLC likely received sales compensation for selling the GPB funds to retail investors.

Continue reading

Published on: | by

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 and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, broker-dealer Western International Securities, Inc. likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Western International Securities, Inc., you may have a claim.

Continue reading
Contact Information
1 World Trade Center, 85th Floor
New York, NY 10007
Toll Free: (855) 430-4010
Iorio Altamirano LLP represents clients throughout the nation, including, but not limited to, those in the following localities: Atlanta, Austin, Baltimore, Boston, Charlotte, Chicago, Cincinnati, Cleveland, Dallas–Fort Worth, Denver, Detroit, Honolulu, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, Pittsburgh, Portland, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

ATTORNEY ADVERTISING
Prior results do not guarantee a similar outcome.
*We do not collect a fee unless we obtain a recovery via settlement or judgment. You may, however, be responsible for costs and expenses the firm has advanced according to the terms of your agreement with the firm. Advanced costs and expenses may be recovered by the firm by deducting the expense from the gross recovery of any settlement or judgment.

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Iorio Altamirano LLP
JUSTIA Law Firm Blog Design