CMD Investigating Claims Against Lawrence Roberson and Capital City Securities, LLC for Misrepresentations and Fraud

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Lawrence Roberson and brokerage firm Capital City Securities, LLC for misrepresentations and omissions, fraud and failure to supervise.  According to Mr. Roberson’s FINRA BrokerCheck, he has been the subject of at least five (5) regulatory inquires.

In September 2016, Roberson consented to the sanction and to the entry of findings that he made material misrepresentations and omissions in the sale of a $40,000 bond debenture to a customer when the purported investment was not a genuine security.  Roberson did not invest the customer’s funds and instead converted the funds to pay for his personal expenses.  As a result of his conduct, Roberson willfully violated Section 10(b) of the Exchange Act and Rule 10b-5, and FINRA Rules 2010 and 2020.

If you or someone you know lost money investing with Lawrence Roberson and/or Capital City Securities, LLC, you may be entitled to recover your investment losses through FINRA arbitration. CMD accepts cases on a contingency fee basis, which means we only get paid if you get paid.  Your time to file a claim may be limited, so contact us today at (212) 658-0458 or contact@cmdllp.com for a free and confidential case evaluation.

CMD Investigating Claims Against Elliot Harris and Triad Advisors, Inc. for Unauthorized Trading and Unsuitable Recommendations

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Elliot Harris and brokerage firm Triad Advisors, Inc. for unsuitable recommendations, unauthorized trading and failure to supervise.  According to Mr. Harris’ FINRA BrokerCheck he has been the subject of at least five (5) customer complaints.

In September 2016, Elliot Harris was barred from association with any FINRA member.  FINRA has alleged that Mr. Harris recommended unsuitable trades and engaged in unauthorized trading.  Triad Advisors, Inc. as Mr. Harris’ broker-dealer, had an obligation to supervise Mr. Harris and the customer accounts he was servicing.

If you or someone you know lost money investing with Elliot Harris and/or Triad Advisors, Inc., you may be entitled to recover your investment losses through FINRA arbitration. CMD accepts cases on a contingency fee basis, which means we only get paid if you get paid.  Your time to file a claim may be limited, so contact us today at (212) 658-0458 or contact@cmdllp.com for a free and confidential case evaluation.