• Robert S. Smith of Peregrine Private Capital / Concorde Investment Services Involved in $1.1 Million Complaint Regarding Investments in GPB Capital
  • Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital Holdings Investments
  • Jesse Gil, Formerly of Allstate Financial, Named Respondent in FINRA Complaint
  • Thomas Johnson, Formerly of RBC Capital, Named in $1M FINRA Complaint
  • Elias “Herbert” Hafen, Former Morgan Stanley Broker, Barred for Defrauding Clients
  • Frederick Baerenz and David Sweat, Former Kalos Capital Brokers, Involved in Arbitration Over Recommendation of GPB Capital Securities Funds