Library - Law Offices of Robert Wayne Pearce

Did Jingbo Pan formerly employed by Coastal Equities, Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Jingbo Pan is currently not registered as a stockbroker. During the period November 2018 through May 2019 he was registered with Axiom Capital Management, Inc. and prior thereto from April 2014 through August 2018 he was registered with International Assets Advisory, LLC. During Mr. Pan’s securities industry career as a salesperson he has been the subject of three (3) customer complaints. We believe one of the complaints while he was employed by International Assets Advisory, LLC 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 Jingbo Pan during his employment with International Assets Advisory, LLC ; 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 15, 2020

Former Cape Securities Stockbroker Kevin Kimball Meadows Suspended for Excessive and Unsuitable Trading

Kevin Kimball Meadows of Columbus, Georgia submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in excessive and unsuitable transactions in violation of FINRA Rules 2111 and 2010. In June 2013, Kevin Kimball Meadows joined Cape Securities as a general securities representative. According to the FINRA findings, Meadows excessively and unsuitably traded three accounts of a customer. FINRA found that during the relevant period, one account had a turnover rate as high as 10.10 and a cost-to-equity ratio as high as 53 percent, the second account had a turnover rate as high as 7.93 and a cost-to-equity ratio as high as 44 percent and the third account had a turnover rate as high as 6.93 and a cost-to-equity as high as 37 percent resulting in a total loss of approximately $39,671. In addition to the FINRA findings, the customer represented to FINRA that his risk tolerance was never aggressive, although his documents with Cape reflected that his investment objective was capital appreciation/growth with an aggressive risk tolerance.

Jun 14, 2020

Did Christopher Michael Ortiz employed by National Securities Corporation Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Christopher Michael Ortiz is currently employed by National Securities Corporation in New York, New York. During Mr. Ortiz’s securities industry career as a salesperson he has been the subject of one (1) customer complaint. We believe the complaint 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 Christopher Michael Ortiz during his employment with National Securities Corporation; 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 13, 2020

Did Darren Wayne Oglesby employed by Money Concepts Capital Corp. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Darren Wayne Oglesby is currently employed by Money Concepts Capital Corp. in Monroe, Louisiana. During Mr. Oglesby’s securities industry career as a salesperson he has been the subject of three (3) customer complaints. We believe one of the complaints relates to a 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 Darren Wayne Oglesby during his employment with Money Concepts Capital Corp.; 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 12, 2020

Did Frank Mastrosimone formerly employed by Royal Alliance Associates, Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Frank Mastrosimone is currently employed by Pruco Securities, LLC. During the period January 2004 through January 2020 he was registered with Royal Alliance Associates, Inc. in West Orange, New Jersey. During Mr. Mastrosimone’s securities industry career as a salesperson he has been the subject of four (4) customer complaints. We believe one of the complaints while he was employed by Royal Alliance Associates, Inc. relates to a 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 Frank Mastrosimone during his employment with Royal Alliance Associates, 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

Jun 12, 2020

Former First Western Securities Representative Kerry Dean Wills Suspended for Violating Procedures

Kerry Dean Wills of Monrovia, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for borrowing money from a customer in violation of his employer member firm’s procedures and FINRA Rules 3240 and 2010. In November 2009, Kerry Dean Wills joined First Western Securities (First Western) as General Securities Representative. According to the FINRA findings, First Western’s written supervisory procedures strictly prohibited registered representatives from borrowing money from a customer and provided no exceptions. The FINRA findings stated that Wills provided personal care to a customer and borrowed $150,000 from her to cover expenses incurred in litigation without seeking exemption from his firms procedures. In addition, FINRA stated that Wills accepted gifts of approximately $19,500 in travel expenses from a customer and failed to disclose the trips to the Firm or report the trips on the firm’s Gifts and Gratuities log.

Jun 11, 2020

Former Janney Montgomery Scott Stockbroker John Joseph Cahill Barred for Misconduct

John Joseph Cahill of Mahwah, New Jersey submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly refused to appear and provide on-the-record testimony, documents and information requested regarding an investigation in violation of FINRA Rules 8210 and 2010. In October 2013, John Joseph Cahill joined Janney Montgomery Scott LLC (“Janney”) as a General Securities Representative. According to the FINRA findings, the Firm reported Cahill’s termination for failing to report his fiduciary relationship with a former client in a Uniform Termination Notice for Securities Industry Registration. The FINRA findings stated that following his termination, FINRA’s department of Enforcement commenced an investigation regarding certain allegations that he served as power-of-attorney and commingled and/or converted funds for a customer while associated with Janney. In addition, Cahill acknowledged and stated that he received the request and would not provide the documents and information or appear and provide testimony at any time.

Jun 11, 2020

Did Luke M. Johnson formerly employed by Coastal Investment Advisors, LLC Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Luke M. Johnson was formerly employed by Coastal Investment Advisors, LLC in Scottsdale, Arizona. During Mr. Johnson’s securities industry career as a salesperson he has been the subject of fifteen (15) customer complaints. We believe at least ten of the complaints while he was employed by Coastal Investment Advisors, LLC relate to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which are still pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Luke M. Johnson during his employment with Coastal Investment Advisors, LLC; 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 10, 2020

Did John James Hoidas formerly employed by Uhlmann Price Securities, LLC Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! John James Hoidas is currently employed by American Trust Investment Services, Inc. in Chicago, Illinois. During the period September 2013 through February 2020 he was registered with Uhlmann Price Securities, LLC and prior thereto from November 2010 through 2013 he was registered with Spencer Trask Ventures, Inc. During Mr. Hoidas’ securities industry career as a salesperson he has been the subject of four (4) customer complaints and a Judgment lien filed against him. We believe all of the complaints while he was employed by Uhlmann Price Securities, LLC relates 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 John James Hoidas during his employment with Uhlmann Price Securities, LLC; 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 9, 2020

Did Jeffrey Max Cohen employed by Moloney Securities Co., Inc. Sell You Any GPB Fund?

Let Us Help You Recover Your GPB Investment Losses! Jeffrey Max Cohen is currently employed by Moloney Securities Co., Inc. in Manchester, Missouri. During the period May 2015 through August 2015 he was registered with Western International Securities, Inc. and prior thereto from November 2013 through April 2015 he was registered with Financial West Group. During Mr. Cohen’s securities industry career as a salesperson he has been the subject of six (6) customer complaints. We believe that five of the complaints while he was employed by Moloney Securities Co., Inc. relate to private offer and sale of GPB Capital Holdings sponsored limited partnership interests which still are pending. We are attorneys offering to help GPB investors who made private placement investments in the following limited partnerships offered and sold by Jeffrey Max Cohen during his employment with Moloney Securities Co., 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

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