Broker Misconduct Lawyer Tag Archives

Novice Investor Sues Centaurus Financial Over Silver Star Properties REIT and Other Losses. Shepherd Smith Edwards and Kantas Broker Misconduct Lawyer Files Six Figure FINRA Lawsuit for Claimant

Once again, our trusted alternative investment loss attorneys are suing Centaurus Financial on behalf of an investor. The claimant, who is an inexperienced investor, worked with financial advisor Timothy Neil Tremblay and is now seeking up to $500K in damages involving real estate investment trusts (REITs), including Silver Star Properties REIT, and a business development company.

This is not the first customer dispute involving this Centaurus broker and investment adviser, who works out of Santa Barbara, CA, and also runs Tremblay Financial Services. According to Timothy Tremblay’s CRD, in addition to already settled investment loss recovery claims accusing him of broker misconduct, there are at least two other pending FINRA lawsuits in which his customers are alleging that he made unsuitable investment recommendations. One of the claimants is asking for $800K. In August 2023, the US Securities and Securities and Exchange Commission (SEC) filed a regulatory case accusing Tremblay of Best Interest violations.

$500M of This Risky Private Placement Investment May Have Been Sold By Brokerage Firms

More than two years after the US Securities and Exchange Commission (SEC) announced that it had filed an emergency action against Complete Business Solutions (d/b/a Par Funding), many of those who collectively invested up to $500M in its alternative investment offerings are still grappling with how to recover their investor losses.

The Broker Misconduct Lawyer teams of Shepherd Smith Edwards and Kantas (investorlawyers.com) are speaking with these investors, many of whom may have been unsuitably sold these risky unregistered securities by brokers. If this is the case for you, then you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer for damages.

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Broker Misconduct Lawyer

Investor Losses Involving Complete Business Solutions Group (Par Funding)