GPB Capital | Investment Executive | James Langton | October 24, 2019 Other charges are unauthorized computer access and unauthorized disclosure of confidential information A former securities regulator is facing charges for allegedly accessing information about an investigation into a private equity firm that he sought to...
GPB | InvestmentNews | Bruce Kelly | October 23, 2019 According to InvestmentNews in its recent article about GPB, "GPB's chief compliance officer stole information from SEC during its investigation: DOJ" The Department of Justice Wednesday charged the chief compliance officer of GPB Capital Holdings, who is...
Michael Cohn | The Scientology Money Project | October 23, 2019 Breaking news from the Financial Times: A former employee of the Securities and Exchange Commission was charged on Wednesday for allegedly leaking information about an investigation into a private equity group that he subsequently joined. Michael Cohn, who...
GPB | Financial Planing | Tobias Salinger | October 17, 2019 Since 2018, the SEC, FINRA, and Massachusetts securities regulators have launched investigations into GPB Capital Holdings. Additionally, the FBI and the New York City Business Integrity Commission made an unannounced visit to the GPB's offices...
Broker-Dealer, Newbridge Securities | Financial Advisor IQ | Alex Padalka | October 1, 2019 Finra has fined a Florida-based broker-dealer $225,000 for alleged failures to supervise the sales of complex investment products, the industry’s self-regulator says. From July 2013 to July 2015, Newbridge Securities allegedly failed to...
GPB Capital | Sun Journal | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims Saco-based Prime...
Newbridge Securities | Investment News| Sep 27, 2019 @ 2:20 pm The Financial Industry Regulatory Authority Inc. has censured Newbridge Securities and fined the Boca Raton, Fla.-based firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse...
GPB Capital | Central Maine | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims Saco-based Prime...
GPB Capital Holdings | Portland Press Herald | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims...
GPB Capital Holdings Scandal | Business Wire | September 18, 2019 02:03 PM EDT Peiffer Wolf and Meyer Wilson File Complaints on Behalf of 91-Year-Old Florida Widow and Retired Russian Emigre Couple in Oregon; Scores of Financial Advisors and Brokerages Face Heat on $160 Million in...
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