The Wolper Law Firm previously announced that it was investigating claims against brokerage firms and investment advisors that recommended that clients invest in the family of private placement offerings issued by iCap Enterprises, Inc.  Most of the iCap Enterprises securities are in the real estate sector. On September 29, 2023, iCap Enterprises and all of […]

The Wolper Law Firm is currently investigating claims against brokerage firms and financial professionals who sold retail clients the Hartman vREIT XXI, a non-traded real estate investment trust (“Non-Traded REIT”).  The Hartman vREIT XXI is sponsored by Hartman Income REIT Management, Inc. Non-Traded REITs Non-Traded REITs are securities that do not trade on a public […]

Daniel Loy (CRD#: 3029654) is a dually registered Investment Advisor and Broker at Independent Financial Group, LLC in Milpitas, CA. Broker’s Background He entered the securities industry in 1998 and previously worked for Voya Financial Advisors, Inc.; MetLife Securities, Inc.; Metropolitan Life Insurance Company; Mony Securities Corporation; and Citicorp Investment Services. Current And Past Allegations […]

Edward Yoon (CRD#: 2408137) is a registered Broker at First Allied Securities, Inc. in Pasadena, CA. Broker’s Background He entered the securities industry in 1994 and previously worked for First Allied Advisory Services, Inc.; First Allied Securities, Inc.; UBS Financial Services, Inc.; D.A. Davidson & Co.; Piper Jaffray, Inc.; Prudential Securities, Inc.; and Painewebber, Inc. […]

Susan Cruz (CRD#: 2213628) is a registered Broker at Infinex Investments, Inc. in Victorville, CA. Broker’s Background She entered the securities industry in 1993 and previously worked for Cetera Investment Services, Inc.; LPL Financial, LLC; Uvest Financial Services Group, Inc.; and PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According […]

Chad Barancyk (CRD#: 4921433) is a dually registered Broker and Investment Advisor at Great Point Capital, LLC in Chicago, IL. Broker’s Background He entered the securities industry in 2005 and previously worked for Great Point Advisors, LLC; Cetera Investment Advisers, LLC; First Allied Securities, Inc.; First Allied Advisory Services, Inc.; and SII Investments, Inc. Current […]

John Mateyko (CRD#: 3275621) is a dually registered Broker and Investment Advisor at Peachcap Securities, Inc. in Serenbe, GA, and Peachcap Tax & Advisory, LLC in Atlanta, GA. Broker’s Background He entered the securities industry in 2000 and previously worked for World Equity Group, Inc.; Fifth Third Securities, Inc.; Chase Investment Services Corp.; U.S. Bancorp […]

Mark Just (CRD#: 1138738) has been a registered broker with Triad Investors, LLC since 2004; he is also an investment adviser with The Just Company since 1991. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 26, 2020, a customer dispute was filed against Mark Just for unsuitable alternative […]

Kevin Fretz (CRD # 4128808) was a Financial Advisor at LPL Financial LLC in South Windsor, CT. Kevin Fretz has been in the securities industry since 2000 and previously worked at Uvest Financial Services Group, Inc., Webster Investment Services, Inc., Phoenix Equity Planning Corporation, American Express Financial Advisors Inc., and IDS Life Insurance Company. According […]

Over the last two years, the Wolper Law Firm, P.A. has received calls from dozens of clients, who purchased shares of non-traded real estate investment trusts (“Non-Traded REITs”) and non-traded business development companies (“BDCs”). Most of these clients purchased the Non-Traded REITs and BDCs between 2013-2016 with assurances made by Financial Advisors that they would […]