Articles Tagged with investment loss lawyer

Published on: | by

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

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

Continue reading

Published on: | by

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, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the SEC, DFPG Investments, Inc. likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with DFPG Investments, Inc., you may have a claim.

Continue reading

Published on: | by

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 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.

If you lost money in GPB funds with David A. Noyes & Company, you may have a claim.

Continue reading

Published on: | by

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 agreed to implement supervisory systems and written supervisory procedures reasonably designed to, among other things, achieve compliance with suitability requirements for alternative investments. The registered representative is no longer with the firm.

Alternative investments include non-traded real estate investment trusts (REITs) and structured notes.

Continue reading

Published on: | by

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 Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors in disputes with their financial advisors and brokerage firms, such as LPL Financial LLC.

Continue reading

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
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 © 2024, Iorio Altamirano LLP
JUSTIA Law Firm Blog Design