ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

Kalos Capital GPB Investment Losses? KlaymanToskes Investigates Potential FINRA Arbitration Claims Relating to Kalos Capital’s Sales Practices of GPB Capital National investor fraud law firm, KlaymanToskes (“KT”), is investigating (“Kalos Capital GPB Investigation”) FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars in GPB Capital Holdings (“GPB”). Brokerage firms such as Kalos Capital sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks, and commissions, which made the investments unsuitable for most investors. SEC Lawsuit Against GPB Capital In November 2021, the Monitor over GPB Capital filed a Quarterly Report…

ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

Geneos Wealth Management GPB Investment Losses? KlaymanToskes Investigates Potential FINRA Arbitration Claims Relating to Geneos Wealth Management’s Sales Practices Concerning GPB Capital National investor fraud law firm, KlaymanToskes (“KT”), is investigating (“Geneos Wealth Management GPB Capital Investigation”) FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars in GPB Capital Holdings (“GPB”). Brokerage firms such as Geneos Wealth Management sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks, and commissions, which made the investments unsuitable for most investors. SEC Lawsuit Against GPB Capital In November 2021, the Monitor over GPB…

ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

GPB FSC Securities Investment Losses? KlaymanToskes Investigates Potential FINRA Arbitration Claims Relating to FSC Securities’ Sales Practices Concerning GPB Capital National investor fraud law firm, KlaymanToskes (“KT”), is investigating (“GPB FSC Securities Investigation”) FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars in GPB Capital Holdings (“GPB”). Brokerage firms such as FSC Securities sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks, and commissions, which made the investments unsuitable for most investors. SEC Lawsuit Against GPB Capital In November 2021, the Monitor over GPB Capital filed a Quarterly Report…

ATTENTION CROWN CAPITAL SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

ATTENTION CROWN CAPITAL SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses

Crown Capital GPB Capital Investment Losses? KlaymanToskes Announces Crown Capital GPB Capital Investigation National investor fraud law firm, KlaymanToskes (“KT”), is investigating (“Crown Capital GPB Capital Investigation”) FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars in GPB Capital Holdings (“GPB”). Brokerage firms such as Crown Capital sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks, and commissions, which made the investments unsuitable for most investors. SEC Lawsuit Against GPB Capital In November 2021, the Monitor over GPB Capital filed a Quarterly Report in the SEC’s lawsuit stating that…

ATTENTION ROYAL ALLIANCE GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims Seeking Millions in GPB Capital Losses Against Royal Alliance as GPB Capital Develops Plan to Return Investor Funds

ATTENTION ROYAL ALLIANCE GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims Seeking Millions in GPB Capital Losses Against Royal Alliance as GPB Capital Develops Plan to Return Investor Funds

Royal Alliance GPB Capital Investment Losses? KlaymanToskes Investigates Royal Alliance for GPB Capital National investor fraud law firm, KlaymanToskes (“KT”), continues to investigate (“Royal Alliance GPB Investigation”) and pursue FINRA arbitration claims on behalf of investors who were solicited to purchase millions of dollars in GPB Capital Holdings (“GPB”), including a claim seeking damages up to $5,000,000 against Royal Alliance Associates. KT strongly encourages investors who purchased GPB Capital to consider filing a securities arbitration claim with the Financial Industry Regulatory Authority to recover investment losses. GPB Capital Lawsuit – SEC Investigation of GPB Capital In November 2021, the Monitor…

TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program

TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program

TD Ameritrade AdvisorDirect® Referral Program Customer Who Invested in GPB Capital? National investor fraud law firm, KlaymanToskes (“KT”), continues its investigation of and is filing a FINRA arbitration claim against TD Ameritrade (“TD Ameritrade GPB Investigation”) on behalf of an investor who sustained losses in GPB Holdings, LP and other related non-registered private placement securities resulting from recommendations from their investment advisor through the TD Ameritrade AdvisorDirect® Referral Program. TD Ameritrade AdvisorDirect®Program and GPB Capital TD Ameritrade, which was recently acquired by Charles Schwab (NYSE: SCHW), offers to help investors find a Registered Investment Advisor through its AdvisorDirect® service. TD Ameritrade’s website makes clear that based…

GPB AUTOMOTIVE PORTFOLIO LP INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation of GPB Capital in Light of September 2021 Purchase Agreement

GPB AUTOMOTIVE PORTFOLIO LP INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation of GPB Capital in Light of September 2021 Purchase Agreement

National investor fraud law firm KlaymanToskes (“KT”) has filed multiple Financial Industry Regulatory Authority (“FINRA”) arbitration claims for clients who were solicited by FINRA broker-dealers to purchase private placement securities of GPB Capital Holdings (“GPB”) in the form of notes, and continues to investigate (“GPB Automotive Portfolio LP Investigation”) the sales practices related to the failure to supervise financial advisor “selling away” private securities transactions related to GPB Capital Holdings Offerings to investors. GPB Automotive Portfolio Purchase Agreement On September 12, 2021, GPB Automotive Portfolio disclosed that Group 1 Automotive, Inc. entered into a Purchase Agreement to buy substantially all…

NOTICE TO GPB CAPITAL INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased GPB Capital Through Advisors of TD AMERITRADE ADVISORDIRECT® Referral Program

NOTICE TO GPB CAPITAL INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased GPB Capital Through Advisors of TD AMERITRADE ADVISORDIRECT® Referral Program

National investor fraud law firm, KlaymanToskes (“KT”), continues to investigate and pursue FINRA arbitration claims against TD Ameritrade (“GPB Capital TD Ameritrade Investigation”) on behalf investors who sustained losses in GPB Holdings, LP and other related non-registered private placement securities, as a result of recommendations from their investment advisor through the TD Ameritrade AdvisorDirect® Referral Program. TD Ameritrade, which was recently acquired by Charles Schwab (NYSE: SCHW), offers to help investors find a Registered Investment Advisor through AdvisorDirect® advisory service. TD Ameritrade made clear that based on your personal needs, “Our AdvisorDirect® referral program gets you an introduction to an independent Registered…

Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines

Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines

FINRA recently disclosed that Merrill Lynch agreed to an Acceptance, Waiver and Consent (AWC), Case #2017053437701, relating to its failure to establish and maintain a supervisory system that was reasonably designed to achieve compliance with FINRA’s suitability rule as it pertains to early rollovers of Unit Investment Trusts (“UITs”). Because of the long-term nature of UITs, their structure, and their costs, short-term trading of UITs may be unsuitable. What is a Unit Investment Trust? A Unit Investment Trust is a SEC-registered investment company that offers investors shares or “units” in a fixed portfolio of securities in a one-time public offering.…

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

FINRA recently disclosed that Cetera Advisor Networks LLC, Cetera Advisors, LLC and Cetera Financial Specialists, LLC, (Cetera Firms) agreed to an Acceptance, Waiver and Consent (AWC) Case #2015046716901.  The Cetera Firms were fined $1 million and were ordered to review and revise, their systems, policies and procedures with respect to the supervision of “private securities” transactions in client accounts, for brokers who were dually-registered. According to FINRA, “From January 2011 through December 2018, Networks and Advisors, and from November 2012 through January 2018, Specialists (the relevant time periods) each failed to establish, maintain and enforce a supervisory system and written…