Category: Cabot Lodge Securities

Did You Lose Money Because of Cliff Shirah?

Filed: March 4, 2024

Cliff Shirah (also known as Clifford William Shirah Jr) has been the subject of one (1) regulatory event, one (1) termination event, and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Cliff William Shirah.

Who Is Cliff William Shirah of Cabot Lodge Securities LLC and CL Wealth Management LLC?

• Advisor Name: Cliff William Shirah
• Aliases: Clifford William Shirah Jr
• CRD: 2767896
• Location: Blue Ridge, Georgia
• Current Employer: Cabot Lodge Securities LLC and CL Wealth Management LLC
• Previous Firms: SB Advisory, LLC and IFS Securities
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Can Cliff Shirah Be Sued: Yes, in Private Arbitration
• Can Cliff Shirah’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $49,000
• Highest Settlement: $24,500

If you have suffered investment losses by Cliff Shirah, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Cliff Shirah For Broker Misconduct

As of this publication date, Cliff Shirah has been the subject of 1 regulatory event, 1 termination event, and 1 customer dispute. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Cliff Shirah by a customer of Concourse Financial Group Securities, Inc. alleging that Mr. Shirah recommended an unsuitable investment. Per the customer, he/she lost over $49,000 because of Mr. Shirah’s actions. On December 11, 2023, Mr. Shirah settled the claim for $24,500, and some or all of this amount may have been paid by Mr. Shirah’s employer and/or insurance carrier.

In April 2018, Michigan initiated a regulatory action against or in reference to Cliff Shirah for engaging in dishonest or unethical behavior in the securities industry within the previous ten years, which supports the denial of his registration application under the above-cited provisions of the Michigan Uniform Securities Act (2002), 2008 PA 551, MCL 451.2101 et seq.

In January 2018, Proequities terminated Cliff Shirah for submitting client paperwork with signature irregularities. Mr. Shirah admitted to: (a) signing client initials with customer permission; and (b) signing client names. The firm does not believe actions were undertaken for monetary gain and did not identify any client harm.

How To File A Claim Against Cliff Shirah of Cabot Lodge Securities LLC and CL Wealth Management LLC (previously with SB Advisory, LLC and IFS Securities) To Get Your Money Back

If you have questions about Cliff Shirah, Cabot Lodge Securities LLC, CL Wealth Management LLC, SB Advisory, LLC, IFS Securities, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Stefan Shimshidian?

Filed: February 27, 2024

Stefan Shimshidian currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Stefan Ara Shimshidian.

Who Is Stefan Ara Shimshidian of Cabot Lodge Securities LLC?

• Advisor Name: Stefan Ara Shimshidian
• Aliases: Stefan Shimshidian
• CRD: 3043669
• Location: White Plains, New York
• Current Employer: Cabot Lodge Securities LLC
• Previous Firms: Allied Beacon Partners, Inc., Advanced Planning Securities, Inc., and Clark Dodge & Co., Inc.
• Number of Known Customer Complaints: 2
• Can Stefan Shimshidian Be Sued: Yes, in Private Arbitration
• Can Stefan Shimshidian’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $235,000
• Highest Settlement: $134,820

If you have suffered investment losses by Stefan Shimshidian, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Stefan Shimshidian For Broker Misconduct

As of this publication date, Stefan Shimshidian has been the subject of 2 customer disputes. Let’s review them below.

In July 2023, a FINRA arbitration was filed against or in reference to Stefan Shimshidian by multiple customers of Cabot Lodge Securities LLC alleging breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, violation of Regulation Best Interest with regard to purchases of GWG L-Bonds in November 2020 and March 2021. Per the customers, they lost over $171,500 because of Shimshidian’s actions. As of this publication date, this claim remains pending.

In September 2022, a FINRA arbitration was filed against or in reference to Stefan Shimshidian by multiple customers of Cabot Lodge Securities LLC alleging that with regards to investment in GWG L-bonds, violations of federal securities laws, New York Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence. Per the customers, they lost over $235,000 because of Shimshidian’s actions. On November 16, 2023, Shimshidian settled the claim for $134,820, and some or all of this amount may have been paid by Shimshidian’s employer and/or insurance carrier.

How To File A Claim Against Stefan Shimshidian of Cabot Lodge Securities LLC (previously with Allied Beacon Partners, Inc., Advanced Planning Securities, Inc., and Clark Dodge & Co., Inc.) To Get Your Money Back

If you have questions about Stefan Shimshidian, Cabot Lodge Securities LLC, Allied Beacon Partners, Inc., Advanced Planning Securities, Inc., Clark Dodge & Co., Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Craig Gould?

Filed: February 9, 2024

Craig Gould currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints and two (2) regulatory events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Craig Michael Gould.

Who Is Craig Michael Gould of Cabot Lodge Securities LLC and World Equity Group, Inc.?

• Advisor Name: Craig Michael Gould
• Aliases: Craig Gould
• CRD: 2367293
• Location: Schaumburg, Illinois
• Current Employer: Cabot Lodge Securities LLC and World Equity Group, Inc.
• Previous Firms: Fintegra, LLC and Wunderlich Securities, Inc.
• Number of Known Customer Complaints: 2
• Number of Known Regulatory Events: 2
• Can Craig Gould Be Sued: Yes, in Private Arbitration
• Can Craig Gould’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $9,000

If you have suffered investment losses by Craig Gould, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Craig Gould For Broker Misconduct

As of this publication date, Craig Gould has been the subject of 2 customer disputes and 2 regulatory events. Let’s review them below.

In September 2023, a FINRA arbitration was filed against or in reference to Craig Gould by multiple customers of Cabot Lodge Securities LLC alleging negligent failure to supervise, and fraud/negligent misrepresentation regarding purchase of First Capital Real Estate Trust REIT (f/k/a United Realty Trust) between February 2013 through June 2018. Per the customers, they lost over $300,000 because of Mr. Gould’s actions. As of this publication date, this claim remains pending.

In January 2020, FINRA initiated a regulatory action against or in reference to Craig Gould for allegedly failing to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable FINRA rules and failing to reasonably enforce his member firm’s WSPs that required the review of organization and offering expenses and underwriters’ compensation of the initial public offering of a Real Estate Investment Trust (REIT) in which the firm participated.

In December 2015, FINRA initiated a regulatory action against or in reference to Craig Gould for allegedly failing to timely report a judgment of approximately $25,577 on his Form U4.

In September 2007, a FINRA arbitration was filed against or in reference to Craig Gould by a customer of Wunderlich Securities alleging that Mr. Gould and Wunderlich Securities placed an unauthorized transaction in selling stocks held by the client and then directed the proceeds to a money market. Per the customer, she lost over $13,589 because of Mr. Gould’s actions. An arbitration panel found that Craig Gould was negligent and awarded $9,000 in favor of the customers.

How To File A Claim Against Craig Gould of Cabot Lodge Securities LLC and World Equity Group, Inc. (previously with Fintegra, LLC and Wunderlich Securities, Inc.) To Get Your Money Back

If you have questions about Craig Gould, Cabot Lodge Securities LLC, World Equity Group, Inc., Fintegra, LLC, Wunderlich Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Brian Bova?

Filed: February 9, 2024

Brian Bova has been the subject of one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Brian James Bova.

Who Is Brian James Bova?

• Advisor Name: Brian James Bova
• Aliases: Brian Bova
• CRD: 4445536
• Location: Houston, Texas
• Current Employer: Currently Not Registered
• Previous Firms: Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, and UBS Financial Services Inc.
• Number of Known Termination Events: 1
• Can Brian Bova Be Sued: Yes, in Private Arbitration
• Can Brian Bova’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Brian Bova, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a portfolio mismanagement lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Brian Bova For Broker Misconduct

As of this publication date, Brian Bova has been the subject of 1 termination event. Let’s review it below.

In December 2023, Cabot Lodge Securities LLC terminated Brian Bova for engaging in activities as a General Partner – through a separate entity over which Mr Bova had control – of a Reg D offering, without obtaining permission from the firm.

How To File A Claim Against Brian Bova (previously with Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, and UBS Financial Services Inc.) To Get Your Money Back

If you have questions about Brian Bova, Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, UBS Financial Services Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.