GARY LISKA Has A Pending Investor Complaint – May Recover Investor Losses SIGNATURE ESTATE SECURITIES, LLC broker, GARY LISKA Has A Pending Investor Complaint. GARY KENDALL LISKA GARY K LISKA CRD#: 2512188 GARY KENDALL LISKA (CRD#: 2512188), a broker for SIGNATURE ESTATE SECURITIES, LLC in Los Angeles, CA has a pending investor complaint. According to Liska’s FINRA BrokerCheck report, claimant …
CLARICE SAW Terminated After SEC Allegations – May Recover Investor Losses
CLARICE SAW Terminated After SEC Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses CLARICE SAW Terminated After SEC Allegations. The SEC alleges that from approximately December 2021 through March 2022, Saw engaged in a fraudulent scheme to misappropriate approximately $2.4 million from an elderly brokerage client of hers while she was associated with a registered broker-dealer. Coastal Equities, …
DANNY SOOKRAM Terminated After EQUITABLE ADVISORS, LLC Allegations – May Recover Investor Losses
DANNY SOOKRAM Terminated After EQUITABLE ADVISORS, LLC Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses DANNY SOOKRAM Terminated After EQUITABLE ADVISORS, LLC Allegations. Was Your Account Traded Excessively? DANNY SHIVA SOOKRAM (CRD#: 6113338), a former broker for EQUITABLE ADVISORS, LLC in MELVILLE, NY, was terminated after employer allegations. According to EQUITABLE ADVISORS, LLC, RR was terminated due to …
Investor Alert: SEC Complaint Targets Jay S. Lucas and Lucas Brand Equity LLC – May Recover Losses
Investor Alert: SEC Complaint Targets Jay S. Lucas and Lucas Brand Equity LLC — May Recover Losses Investor Alert: SEC Complaint Targets Jay S. Lucas and Lucas Brand Equity LLC — May Recover Losses. Investors should take immediate notice of serious allegations brought by the Securities and Exchange Commission (SEC) involving Jay S. Lucas and his firm, Lucas Brand Equity …
JIM PTACEK Has A Pending Investor Complaint – May Recover Investor Losses
JIM PTACEK Has A Pending Investor Complaint – May Recover Investor Losses Former LPL FINANCIAL LLC broker, JIM PTACEK Has A Pending Investor Complaint. JAMES ROBERT PTACEK JR JAMES ROBERT PTACEK, JIM PTACEK CRD#: 1959049 JAMES ROBERT PTACEK JR (CRD#: 1959049), a former broker for LPL FINANCIAL LLC in WILLOUGHBY HILLS, OH has a pending investor complaint. According to Ptacek’s …
Investor Alert: Timothy Darnell, Prior Termination, and SEC Ponzi Allegations Involving First Liberty
Investor Alert: Timothy Darnell, Termination, and Customer Complaints After SEC Ponzi Allegations Involving First Liberty Investors who worked with Timothy Nathaniel Darnell (CRD#: 6666469) should take note of serious red flags, including his termination from a brokerage firm prior to the filing of customer complaints and ongoing regulatory concerns tied to First Liberty–related investments. Together, these issues raise important questions …
Joel Benanti Named In FINRA Complaint – May Recover Investor Losses
Joel Benanti Named In FINRA Complaint – May Recover Investor Losses Former NETWORK 1 FINANCIAL SECURITIES INC. broker, Joel Benanti Named In FINRA Complaint. Joel Anthony Benanti CRD#: 4210681 Joel Anthony Benanti (CRD#: 4210681), a former broker for NETWORK 1 FINANCIAL SECURITIES INC. in Hauppauge, NY is a respondent in a recent FINRA Complaint. According to Benanti’ FINRA BrokerCheck report, …
Ponzi Scheme Allegations and Regulatory Action Against Equilus Entities – May Recover Investor Losses
Ponzi Scheme Allegations Against Equilus Entities – May Recover Investor Losses Ponzi Scheme Allegations Against Equilus Entities. Investors who purchased interests in Equilus Group, Inc., Equilus Capital Partners, LLC, or related real estate funds should take immediate notice: a recent enforcement action by the Washington State Department of Financial Institutions Securities Division alleges serious misconduct, including Ponzi-like activity, misappropriation of …
RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses
RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses TCFG WEALTH MANAGEMENT, LLC broker, RICK ROBERTS Has A Pending Investor Complaint. RICHARD JAMES ROBERTS RICK ROBERTS CRD#: 2145874 RICHARD JAMES ROBERTS (CRD#: 2145874), a broker for TCFG WEALTH MANAGEMENT, LLC in LAGUNA NIGUEL, CA has a pending investor complaint. According to Roberts’ FINRA BrokerCheck report, Claimant alleges …
DAN HOLZER Has A Pending Investor Complaint – May Recover Investor Losses
DAN HOLZER Has A Pending Investor Complaint – May Recover Investor Losses REALTA EQUITIES, INC. broker, DAN HOLZER Has A Pending Investor Complaint. DAN HOLZER DAN JOHN HOLZER CRD#: 5779187 DAN JOHN HOLZER (CRD#: 5779187), a broker for REALTA EQUITIES, INC. in Wilmington, DE has a pending investor complaint. According to Holzer’s FINRA BrokerCheck report, The claimant alleges unsuitable recommendations. …