Retirement Surety LLC and Crescendo Financial LLC – SEC Files Cease and Desist Order

Retirement Surety LLC and Crescendo Financial LLC – SEC Files Cease and Desist Order | Goodman & Nekvasil P.A. May Recover Investor Losses

Securities and Exchange Commission Files Cease and Desist Order Against Retirement Surety LLC and Crescendo Financial

ACCORDING TO THE SEC:

Retirement Surety LLC (“Retirement Surety”) is a Texas limited liability company formed on February 5, 2010 and based in Plano, Texas. According to its website, Retirement Surety is a “practicing Christian organization” comprised of a group of “state licensed partners,” all from “career[s] outside of the financial services industry” who provide investment advice for retirement planning. From at least 2013 through 2015, Retirement Surety was managed by Respondents David Leeman, Thomas Rose, and David Featherstone, and also Ronald Wills. During that same time period, Randal Wallis was associated with Retirement Surety. Retirement Surety has never been registered as, or associated with, a registered broker-dealer.

Crescendo Financial LLC (“Crescendo”) is a Texas limited liability company formed on June 18, 2013 and based in Plano, Texas. Crescendo’s sole function was to broker the sale of Verto Notes, and it offered no other products. According to its website, Crescendo is a “practicing Christian organization” comprised of a group of “licensed partners,” all from “career[s] outside of the financial services industry” who sell “investments . . . [that] have placed our clients on a new course to reach their financial goals.” At all relevant times, Crescendo was managed by Thomas Rose and David Leeman, who along with David Featherstone, Randal Wallis, and Ronald Wills, sold the Verto Notes. Crescendo has never been registered, as or associated with, a registered broker-dealer.

After an investigation, the Division of Enforcement alleges that Respondents violated Section 5(a) and (c) of the Securities Act and Section 15(a)(1) of the Exchange Act by acting as unregistered brokers in transactions involving unregistered purchases and sales of securities in the form of 7% promissory notes issued by Verto Capital Management LLC (the “Verto Notes”).

Investors in Retirement Surety LLC and Crescendo Financial LLC May Recover their Losses with Goodman & Nekvasil, P.A.

If you invested with Retirement Surety LLC and/or Crescendo Financial LLC, Goodman & Nekvasil, P.A. may help you. Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, has recovered more than $180 million dollars on behalf of victimized investors. 

All our cases are handled on a purely contingency fee basis by Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA. Kalju Nekvasil, Esq. has practiced in this area of the law for more than 35 years. 

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

If you incurred investment losses with Retirement Surety LLC and/or Crescendo Financial LLC and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

 

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