Michael Bayliss Investigation In August, 2019, a FINRA arbitrator panel sitting in Reno, Nevada made an award in excess of $700,000 in favor of an investor in the Michael Bayliss Wealth Strategies Fund. The award was made against TD Ameritrade for failing to properly vet the Michael Bayliss investment. Among…
Lucia Securities investigation into variable annuity and non-traded REIT sales The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sale of illiquid and high risk securities by a Henderson, NV based FINRA registered representative with Lucia Securities (aka Lucia Capital Croup). The pending…
GPB Capital Holdings the subject of regulator complaints FINRA, the securities industry regulator has opened an investigation into GPB Capital Holdings, a New York based investment firm that has raised nearly $2 billion from investors nationwide through a series of private placements. This is in addition to an investigation by…
Kalos Capital investigation into non-traded REIT and private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the private placement activity of Kalos Capital, an Alpharetta, Georgia based broker dealer with offices in Las Vegas, Nevada. The pending customer complaint that gives rise…
Roger Owens Cetera Advisors broker Woodbridge Mortgage Fund investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Roger Owens a registered representative formerly affiliated with Cetera Advisors in Elkton, Maryland. The pending investigation concerns investments made by Roger…
Jeffrey Schwebach Independant Financial Group broker Woodbridge Mortgage Fund investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Jeffrey Schwebach a registered representative formerly affiliated with Independant Financial Group in Dell Rapids, South Dakota. The pending investigation concerns…
Frank Dietrich Quest Capital broker Woodbridge Mortgage Fund investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Frank Dietrich a registered representative formerly affiliated with Quest Capital Strategies in Springfield, Virginia. The pending customer dispute that gives rise…
Patrick Teutonico Network 1 Financial Securities broker excessive trading investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Patrick Teutonico a registered representative affiliated with the Network 1 Financial Securities office in Seaford, New York. Mr. Teutonico partnered…
Future Income Payments information for investors In the past several years multiple state finance and securities regulators have filed enforcement actions against Henderson, Nevada based Future Income Payments LLC to stop them from targeting pensioners – many of them military veterans- with a pitch to “cash out” their pensions and…
Sheaff Brock Put Option Income Strategy Caused Losses The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Sheaff Brock a registered investment advisor that offered a put option income strategy that it described as a conservative way to earn…