Articles Tagged with private placements

Johnny Guan (CRD#: 5711977), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a client alleges that he recommended unsuitable investments, overconcentrated their portfolio, made unauthorized transactions, and breached his fiduciary duty (putting his interests ahead of the client’s), according to his BrokerCheck record accessed on February 4, 2020.

Johnny Guan
This is not the only disclosure on Johnny Guan’s BrokerCheck record. On April 15, 2016, he became involved in a customer dispute in which a customer alleged that the broker recommended unsuitable investments, misrepresented investments, and engaged in negligence. The client originally requested $40,000 in damages; the dispute settled for $7,200.

Over his 10-year career in the securities industry, Johnny Guan has worked for three brokerage firms. In addition to his current role at Aegis Capital Corp., he has also worked for National Securities Corporation (CRD#: 7569) and Newbridge Securities Corporation (CRD#: 104065).

Charles TourangeauPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2016 indicate that Michigan-based Hantz Financial Services broker/adviser Charles Tourangeau is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tourangeau (CRD# 4395024).

Charles Tourangeau has spent 14 years in the securities industry and has been registered with Hantz Financial Services in Clinton Township, Michigan since 2001. He has no previous registrations. He is a registered broker and investment adviser in 21 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maryland, Michigan, Minnesota, Missouri, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Virginia. Continue Reading

Texas Energy Holdings Inc. Equitas Drilling ProgramThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking investors who have complaints regarding investments in Texas Energy Holdings Inc. Equitas Drilling Program.

Texas Energy Holdings Inc. Equity Drilling Program is a limited partnership offering investors equity interests in residential real estate. Per the Form D filed with the Securities and Exchange Commission (SEC), Texas Energy Holdings Inc. Equity Drilling Program is an unregistered security, also known as a Regulation D offering, which means it comes without the regulatory oversight afforded other securities. Securities law accounts for three exemptions from registrations: Continue Reading