Articles Tagged with investor education

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Vanderbilt Securities, LLC is a broker-dealer headquartered in Woodbury, New York. The firm was formed in 2001. According to publicly available records filed with the SEC, Vanderbilt Securities, LLC 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 Vanderbilt Securities, LLC, you may have a claim.

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United Planners Financial Services is a broker-dealer headquartered in Scottsdale, Arizona. The firm was formed in 1987. According to publicly available records filed with the SEC, United Planners Financial Services 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 United Planners Financial Services, you may have a claim.

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Orchard Securities, LLC provides broker-dealer services for securities offerings in alternative investments. The firm is headquartered in Pleasant Grove, Utah, and was formed in September 2005. According to publicly available records filed with the SEC, Orchard Securities, LLC 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 Orchard Securities, LLC, you may have a claim.

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Stephen A. Kohn & Associates, Ltd. (a.k.a DMK Advisor Group, Inc.) is a broker-dealer headquartered in Lakewood, Colorado. The firm was formed in April 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, Stephen A. Kohn & Associates, Ltd. likely received sales compensation for selling the GPB funds to retail investors.

If you lost money in GPB funds with Stephen A. Kohn & Associates, Ltd., you may have a claim.

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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.

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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.

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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.

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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.

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**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 the National Adjudicatory Council (NAC),  a Review Subcommittee of the NAC, or the Office of Disciplinary Affiars (ODA) have accepted Mr. Rahmani’s offer of settlement.  Under the terms of the settlement, Mr. Rahmani has consented to a bar from the securities industry.

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FINRA Files Enforcement Action Against Former Joseph Stone Capital, LLC. Broker Abdul Rahmani

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The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Dawson James Securities, Inc. (“Dawson James”) for charging customers excessive commissions.  On April 6, 2021, FINRA and Dawson James entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) whereby Dawson James accepted the following sanctions:

  • a censure;
  • a $20,000 fine; and
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