Broker Misconduct - Law Offices of Robert Wayne Pearce

Jun 2, 2020

Did Matthew Crafa of Gateway Investments and Royal Alliance Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Matthew Crafa is currently employed by Gateway Investments and registered as a stockbroker with Royal Alliance Associates in Garden City, New York. On information and belief, the same Matthew Crafa maintains a residence in Boca Raton, Florida. During Mr. Crafa’s securities industry career as a salesperson he has been the subject of three customer complaints. We believe all three of these complaints relate to Mr. Crafa’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. Those matters still appear to be pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Mr. Crafa during his employment with Gateway Investments and Royal Alliance; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

Jun 1, 2020

Did Kenneth James Barroga of Watsonville, California Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Kenneth James Barroga is currently employed by Crown Capital Securities LP in Watsonville, California. During Mr. Barroga’s securities industry career as a salesperson he has been the subject of four (4) customer complaints. The results of those arbitrations were: two settled, one went to Award and the other was denied by the firm. The Award in connection with the offer and sale of Real Estate Investment Trusts included $90,000 compensatory damages, $36,000 attorney fees, $20,000 punitive damages and over $13,000 in costs. It has been reported that Mr. Barroga has offered and sold limited partnership interests sponsored by GPB Capital Holdings, LLC and other alternative investments. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships that may have been offered and sold by Mr. Barroga during his employment with Crown Capital Securities LP; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 31, 2020

Did Hugh “Hobby” Barndollar of Land O’Lakes, Florida Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Hugh “Hobby” Barndollar is currently employed by Crown Capital Securities in Land O’Lakes, Florida. He has been registered with that broker dealer since March 2013. During the period April 2014 through the present he has also been employed by Barndollar Advisory Services Inc. During Mr. Barndollar’s securities industry career as a salesperson he has been the subject of three (3) customer complaints. We believe two (2) of the pending complaints filed while he was employed by Crown Capital Securities relate to private offer and sale of GPB Capital Holdings sponsored limited partnership interests. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Hugh “Hobby” Barndollar during his employment with Crown Capital Securities; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 30, 2020

Did Darrin Cohen of Wealth Enhancement and Preservation of Ga. and Triad Advisors LLC Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Darrin Cohen is currently employed by Wealth Enhancement and Preservation of Ga. and registered as a stockbroker with Triad Advisors, LLC in Alpharetta, Georgia. During Mr. Cohen’s securities industry career as a salesperson he has been the subject of two customer complaints which are pending. We believe that both of these complaints relate to Mr. Cohen’s private offer and sale of one or more of the following GPB Capital Holdings sponsored limited partnership interests: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 29, 2020

Did Former Kalos Capital Broker Daniel Ray Saur Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Daniel Ray Saur was recently registered as a stockbroker with Kalos Capital, Inc. and employed by D.R. Saur Financial, Inc. in Dallas, Texas. During Mr. Saur’s securities industry career as a salesperson he has been the subject of three customer complaints. The results of those arbitrations were: two settled and one withdrawn. We believe at least one of these complaints relate to Mr. Sauer’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. We are attorneys offering to help investors who made private placement investments in the following limited partnerships which may have been offered and sold by Daniel Ray Saur while associated with Kalos Capital, Inc.; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 28, 2020

Did Former Kalos Capital Broker Christopher Shaw Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Christopher Shaw is currently employed by Pruco Securities in Belmont, North Carolina. However, during the period 2011 through 2019, he was employed with Kalos Capital, Inc. in the same city in North Carolina. During Mr. Shaw’s securities industry career as a salesperson, he has been the subject of three customer complaints. All three of those complaints arose in connection with his employment with Kalos Capital. We believe one or more of these complaints relate to Mr. Shaw’s private offer and sale of GPB Capital Holdings sponsored limited partnership interests. All of those matters still appear to be pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships that may have been offered and sold by Mr. Shaw during his employment with Kalos Capital; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 27, 2020

Did Brian Frank of Ascendant Alternative Strategies Sell You Any GPB Fund or Any Other Private Placement Investment?

Let Us Help You Recover Your GPB Investment Losses! Brian Frank is currently employed by Ascendant Alternative Strategies, LLC since October 2017 in New York City, New York. During Mr. Frank’s securities industry career as a salesperson he has been the subject of three customer complaints. The results of those arbitrations were two settled in the investor’s favor and one remains pending. We believe the pending complaint relates to his private offer and sale of GPB Capital Holdings sponsored limited partnership interests and/or another private placement investment. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships which may have been offered and sold by Brian Frank during his employment with Ascendant Alternative Strategies; that is, help them to rescind their GPB investment and/or recover their GPB and/or any other private placement investment losses. The GPB Fund and other private placement investments we are inquiring about include the following: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP

May 26, 2020

Did Former Kalos Capital Broker Arni Jay Diamond Sell You Any GPB Funds?

Let Us Help You Recover Your GPB Investment Losses! Arni Jay Diamond is currently employed by Dempsey Lord Smith, LLC in Rome, Georgia. During the period July 2013 through September 2018 he was registered with Kalos Capital, Inc. and prior thereto from March 2008 through July 2013 he was registered with Berthel Fisher & Company Financial Services, Inc. During Mr. Diamond’s securities industry career as a salesperson he has been the subject of four (4) customer complaints and filed a Chapter 13 bankruptcy. We believe one of the complaints while he was employed by Kalos Capital, Inc. relates to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which is pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Arni Jay Diamond during his employment with Kalos Capital, Inc.; that is, help them to rescind their GPB investment and/or recover their GPB investment losses: GPB Automotive Portfolio, LP GPB Cold Storage LP GPB Holdings, LP GPB Holdings II, LP GPB Holdings III, LP GPB Holdings Qualified, LP GPB NYC Development, LP GPB Waste Management Fund, LP According to reliable sources, GPB Capital Holdings’ other funds also reported declines in an estimated value of 25% to 73%.

May 22, 2020

Cabot Lodge Securities Banking Manager Craig Gould Suspended and Fined

Craig Gould of Jersey City, New Jersey submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly failing to properly supervise in connection with a firm public offering. Gould was the Investment Banking Manager (IBM) for Cabot Lodge Securities and was responsible for reviewing the firm’s offerings and ensuring its compliance with FINRA Rules. FINRA Rule 2310(b)(4)(B) prohibits excess gross proceeds on an offering. As the IBM for Cabot Lodge Securities, FINRA alleged Gould knowingly exceeded the ten percent limit in violation of NASD Rule 3010 and FINRA Rule 2010. Without admitting or denying the FINRA findings Gould agreed to the sanctions and was fined $20,000 and suspended from association with any FINRA member for ninety days.

May 20, 2020

Former LPL Financial Representative Sean Waggoner Suspended and Fined

Sean Waggoner of Houston, Texas submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority for failing to disclose outside securities transactions. Waggoner was formerly registered as an Investment Company and Variable Contracts Products Representative through LPL Financial. FINRA alleged that between 2010 and 2016, Waggoner made at least eight private securities transactions without prior written notice to his firm. FINRA and NASD Rules require prior written notice to the member firm if you are engaging in private securities transactions. FINRA alleged that Waggoner violated NASD Rule 3050 and FINRA Rule 2010. Without admitting or denying the FINRA findings Waggoner agreed to the sanctions and was suspended from association with any FINRA member for two months, fined $10,000, and ordered to take additional education concerning registered representative responsibilities.