10.0David P Neuman
(720) 599-3505

Investigation of JERRY WELLS of MetLife – Rochester, NY

Tag Archives: SagePoint

06
Dec

Investigation of JERRY WELLS of MetLife – Rochester, NY

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Investigation of JERRY WELLS of MetLife – Rochester, NY

Jerry Wells, formerly with MetLife Securities, Suspended Two Months by FINRA   Have you lost money with financial advisor Jerry Wells from Rochester, New York?  We are currently investigating allegations made against Jerry M. Wells, who previously worked with MetLife Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Wells, making allegations ...

04
Dec

UPDATE! GPB Capital Class Action Lawsuit

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UPDATE!  GPB Capital Class Action Lawsuit

GPB Capital Announces Another Delay in Releasing Audited Financials   GPB Capital has been in the news again, and once again it is for negative news.  GPB Capital announced last week that it was again delaying releasing audited financial statements for its company.  This is in addition to the other recent news that GPB has ...

07
Nov

INVESTORS: CLASS ACTION Against GPB Capital

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INVESTORS:  CLASS ACTION Against GPB Capital

GPB Capital Subject of Class Action   GPB Capital is under more pressure with the recent filing of a class action in Texas.  The class action alleges that investments operated like a Ponzi scheme, engaged in self-dealing, and failed to adequately disclose material conflicts of interest.   GPB Capital raised over $1.8 billion from investors through ...

29
Oct

UPDATE! Michael Cohn of GPB Capital ARRESTED

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UPDATE!  Michael Cohn of GPB Capital ARRESTED

GPB Capital’s Chief Compliance Officer, Michael Cohn, Arrested   Have you invested in GPB Capital Holdings?  GPB’s chief compliance officer, Michael Cohn, was charged with obstruction of justice and unauthorized access of a government computer.  Cohn, who previously worked with the Securities and Exchange Commission, was alleged to have attempted to access the SEC’s files ...

23
Aug

LIST OF COMPANIES SELLING GPB CAPITAL HOLDINGS

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LIST OF COMPANIES SELLING GPB CAPITAL HOLDINGS

List of Companies Selling GPB Capital Holdings   GPB Capital Holdings has been in the news lately, and it’s not positive press.  Reports show that GPB Capital’s pooled investments have suffered significant losses, stopped paying dividends to investors, and have been under investigation by regulators like the SEC and the Massachusetts Securities Division.   There ...

10
Jun

INVESTOR ALERT! GPB Capital Investments Decline in Value

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INVESTOR ALERT!  GPB Capital Investments Decline in Value

GPB Capital Reports Decline in Values for Its Funds   Have you invested in GPB Capital Holdings?  The company recently reported that two of its funds, GPB Holdings II and GPB Automotive Portfolio, have significant declines in their values.  GPB Holdings II reportedly lost 25.4%, and GPB Automotive Portfolio lost 39%.  GPB also reported that ...

04
Jun

INVESTOR ALERT: Alberto Sanchez of Principal Securities BARRED

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INVESTOR ALERT:  Alberto Sanchez of Principal Securities BARRED

Alberto Sanchez, formerly with Principal Securities, Barred from Securities Industry   Have you lost money with financial advisor Alberto Sanchez of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alberto Sanchez. FINRA barred Sanchez from the securities industry after he failed to respond to a FINRA investigation.  ...

13
Dec

INVESTOR WARNING! GPB CAPITAL Investments Under INVESTIGATION

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INVESTOR WARNING!  GPB CAPITAL Investments Under INVESTIGATION

SEC and FINRA Investigating GPB Capital Holdings   Have you invested in GPB Capital Holdings?  Our firm is looking into investigations made against GPB Capital Holdings, which raised money from investors through private placements.  GPB was alleged by the Securities and Exchange Commission (SEC) to have missed filing financial statement deadlines.  It is also reported ...

11
Sep

WARNING! Impending Investigation – DREW JOHNSON

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WARNING!  Impending Investigation – DREW JOHNSON

Drew Johnson, formerly of Girard Securities, Suspended Six Months from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Drew M. Johnson, from Coon Rapids, Minnesota. FINRA suspended Johnson from the securities industry for six months and fined him $5,000.  FINRA was investigating Drew Johnson to determine whether ...

23
Nov

WARNING! Investigation of JOHN BURNS–Chesterfield, Missouri

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WARNING!  Investigation of JOHN BURNS–Chesterfield, Missouri

INVESTOR WARNING!  John Burns from Chesterfield, Missouri   Have you lost money with financial advisor John Burns of Chesterfield, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John E. Burns. FINRA suspended Burns for 14 months regarding allegations that he exercised discretionary power in nine customer accounts without prior ...

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