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SagePoint Financial Broker Named In Customer Disputes 

Our investor fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into claims involving SagePoint Financial broker, Timothy Vanlohuizen. With 37 years in the industry, Vanlohuizen, who is based in Idaho, has been named in six customer disputes. 

Allegations Currently Made Against Timothy Vanlohuizen

Woodbury Financial Services Representative Accused Of GPB Private Placements Sales

If you are an investor who was sold GPB Capital private placements by Woodbury Financial Services broker Daryl Serizawa, our broker fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you. 

Serizawa is one of the hundreds of financial representatives who sold GPB funds to customers. These brokers and their firms earned more than $160M in commissions. Now, GPB Capital Holdings, an alternative asset firm that invests in auto dealers and waste management, is accused of operating a $1.8B Ponzi scam. 

Barred Broker Named In Almost 50 Customer Complaints 

Anthony Diaz, a former Pennsylvania stockbroker and investment advisor who has been the subject of dozens of customer complaints, is finally on trial for fraud. Jury selection is slated to start this week. 

Our investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are speaking with former investors who worked with Diaz at one of the 11 brokerage firms where he was registered including Edward Jones, Raymond James and First Allied Securities to help determine if they have grounds for a broker fraud claim. 

National Planning Ordered to pay $2.6M to Older Investor

A Financial Industry Regulatory Authority (FINRA) panel is ordering National Planning Corp. to pay a customer, who is in her eighties, $2.6M after her former stockbroker, William August Glaser, sold her unsuitable investments. The investments including fraudulent promissory notes and non-traded REITs (real estate investment trusts). $1M of the award is for punitive damages.

William Glaser, who was fired by National Planning and barred by FINRA in 2017, is currently in prison for wire fraud.

FINRA Orders Oppenheimer To Pay $3.8M

Oppenheimer & Co. (OPY) must pay over $3.8M in restitution to customers who may have had to pay excess sales fees for the early rollovers of their United Investment Trusts (UITs). The order comes from the Financial Industry Regulatory Authority (FINRA) and includes an $800K fine for not reasonably supervising these early UIT rollovers. 

The self-regulatory organization (SRO) contends that from 1/2011 to 12/2015 of the $6.4B of United Investment Trust transactions that Oppenheimer executed, $753.9M of these were early rollovers. 

Former LifeMark Securities Broker Gets Banned By FINRA 

If you are an investor who suffered losses while Stephen Carver handled your investments and wish to file an investor claim, our broker misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you. 

Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA). 

FINRA Bars Former Morgan Stanley Representative

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker, John Joseph Cahill. The ex-registered representative, who was fired from Janney Montgomery Scott early last year, is accused of potentially converting and/or misappropriating an elderly client’s funds while he was at Morgan Stanley. 

John Cahill Is Accused of Elder Investor Fraud

Collateral Yield Enhancement Strategy (CYES) Damages: SSEK Investigating Merrill Lynch Financial Advisor 

Shepherd Smith Edwards & Kantas (SSEK), a law firm specializing in representing wronged investors is looking into allegations against Gordon Harper, a financial advisor with Merrill Lynch out of Upper Montclair, New Jersey. Prior to that, he worked at Banc of America and Edward Jones. 

According to allegations in a recent Financial Industry Regulatory Authority Inc. (FINRA) claim, Gordon Harper recommended something called Harvest Volatility Management CYES (also known as collateral yield enhancement strategy). Harvest is a money manager which, as the name implies, attempts to manage volatility. 

Another Kalos Capital Broker Sold GPB Investments To Investors

Once again, our GPB investment lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have filed an investor fraud lawsuit against Kalos Capital and one of its brokers, Kristian Finfrock. 

In this latest broker fraud case, the Claimants are a retired couple who contend that Kalos Capital broker and investment advisor, Kristian Finfrock, pushed them into placing $750K of their life savings into alternative investments including non-traded real estate investment trusts (Non-traded REITs), annuity contracts, and GPB Capital private placements. 

Ex-Royal Alliance Broker Stole Money From Older Women With Disabilities

If you suffered losses while working with former Royal Alliance Associates broker, Gary Basralian, our broker fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you. 

Gary Basralian, whom the Financial Industry Regulatory Authority (FINRA) barred in 2018, is currently in prison for fraud, including bilking older women who suffered from disabilities. Recently, Royal Alliance, an Advisor Group firm, agreed to pay $250K to settle a related regulatory case brought by the New Jersey Bureau of Securities for not properly supervising Basralian. 

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