$500K Claim Against Calton & Associates for GPB Capital Sales

$500K Claim Against Calton & Associates for GPB Capital Sales

A Financial Industry Regulatory Authority (FINRA) arbitration claim has been filed against brokerage firm Calton & Associates by a Texas retiree, seeking up to $500K in damages. The claim arises from losses suffered by the claimant in private placements of GPB Capital Holdings and other products not traded publicly. The claimant’s account was inherited by …

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Cynthia Cowden (NPB Financial Group) Barred by FINRA

Cynthia Cowden (NPB Financial Group) Barred by FINRA for Recommending Unsuitable Investments

Experienced investment fraud lawyers in California, have been called upon to investigate claims of investor fraud of former customers of Cynthia Cowden, or Cynthia Diane Cowden, who used to be a stockbroker at NPB Financial Group. In addition, Cowden, based out of Lake Isabella, California, was also a registered investment advisor, operating under the business …

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Stifel Nicholas & Co Fraud Case

Four Stifel, Nicolaus & Co. (SF) clients were awarded $1.5M in compensatory damages in their Financial Industry Regulatory Authority (FINRA) arbitration case against the brokerage firm. The claimants also stated that Blumberg mismarked transactions and encouraged Them to add more positions even as they were losing money. They are alleging another: Breach of fiduciary duty …

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