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Recent Investigations

GPB Capital Holdings/Direct Private Placements/Limited Partnership losses with Great Point Capital, LLC Broker Scott A. Kemps

Great Point Capital, LLC Colling Gilbert Wright and Carter is currently investigating Great Point Capital, LLC broker Scott Arthur Kemps (CRD# 1849069 – “Mr. Kemps”), who is alleged to have recommended unsuitable GPB Capital Holdings funds/Direct Private Placements and Limited Partnership interests (Mr. has been previously registered with Meyers Associates, L.P.; International Assets Advisory , […]

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Colling Gilbert Wright & Carter Is Investigating Northstar Financial Services (Bermuda) Ltd

Colling Gilbert Wright & Carter is currently investigating possible claims related to investments in a variety of investment and insurance products offered by Northstar Financial Services (Bermuda) Ltd. Some of the investments offered by Northstar Financial Services (Bermuda) include, but are not limited to: Global Interest Accumulator Global Advantage Plus Series Global Advantage Select Global […]

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Securities Brokerage Firms and Brokers That Sold GPB Capital Investments

The Securities Negligence and Fraud Attorneys at Colling Gilbert Wright & Carter are Investigating and filing FINRA arbitration cases against brokerage firms that recommended and sold funds sponsored by GPB Capital Holdings, LLC. In early February, a federal indictment was unsealed against GPB Capital insiders David Gentile (54), Jeffry Schneider (52), and Jeffrey Lash (51). […]

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Newbridge Securities and Bruce Howard Jordan were Recently Censured and Fined by FINRA

Newbridge Securities Corporation, (Boca Raton, Florida) and registered representative Bruce Howard Jordan were subject of an Acceptance Waiver & Consent (AWC)  wherein they were censured, fined $225,000 and required to retain an independent consultant to conduct a comprehensive review of the reasonableness of the firm’s policies, systems and procedures and training with respect to its participation […]

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The Securities Negligence and Fraud Attorneys at CGW&C are Investigating GPB Capital Holdings, LLC

As more news comes out, investors in GPB Capital  Holdings, LLC (GPB) private placements are starting to realize it may have been a giant ponzi scheme.  GPB was primarily supposed to be buying auto dealerships and waste-management businesses that were represented to provide attractive yields for the various firms’ clients. GPB has told the broker-dealers, that […]

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UBS Allegedly Downplayed the Risk of Chasing Yield in Their “Yield Enhancement Strategy”

A recent Wealth Management article details how UBS clients who were invested in a leveraged, esoteric options strategy described as a “conservative” and “low risk” way to get extra yield from their portfolios were shell shocked by losses they experienced at the end of last year. Many are now accusing the firm, as well as the two advisors who […]

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Securities Litigation Attorneys at Colling Gilbert Wright & Carter are Investigating Former Center Street Securities Broker Satya Brata Shaw

The securities negligence and fraud attorneys at Colling Gilbert Wright & Carter are currently investigating former Center Street Securities, Inc. (“CSSI”) registered representative Satya Brata Shaw (“Mr. Shaw”), from the Tampa, Florida area. According to FINRA BrokerCheck, Mr. Shaw has at least eight regulatory actions and three customer disputes.  On or about July 6, 2017, Mr. Shaw […]

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Puerto Rico Bond and Bond Fund Loss Recovery

UBS Financial Services, Santander Securities, Popular Securities and Oriental Financial Services are financial services companies that enjoy a strong presence in major markets throughout the world. These firms allegedly encouraged clients to take concentrated positions in Puerto Rican bonds closed-end municipal bond funds. Now, thousands of investors have received margin calls or been forced to liquidate their […]

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Securities Litigation Attorneys at Colling Gilbert Wright & Carter are Investigating Former Investors Capital Corporation Broker William B. Gordon

The securities litigation attorneys at Colling Gilbert Wright & Carter are currently investigating allegations of unsuitability and negligence against Clearwater, registered representative William Blair Gordon (Mr. Gordon).  Mr. Gordon has been registered with nine FINRA member firms including Investors Capital Corporation (ICC) where he was employed from October 1998 to November 2010.  ICC was a member […]

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Future Income Payments (FIP) Scheme Leads to Securities Regulator Investigations

Colling Gilbert Wright & Carter has been contacted by several Orlando area investors in Future Income Payments, LLC (FIP) who are concerned that the returns they were promised have terminated.  We are now investigating those claims with the intention of filing a civil complaint to recover investor losses.   FIP marketing claims to be “the industry leader and […]

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