Investor Alert > Broker Dennis McMillan Investigation into His Alleged Recommendations in GPB Investments

Posted Apr 16, 2021

by Alan Rosca

Broker Dennis McMillan Investigation into His Alleged Recommendations in GPB Investments

Broker Dennis McMillan (also known as Dennis Shane McMillan and Shane McMillan) allegedly involved in a customer dispute disclosure alleging unsuitable investment recommendations involving GPB investments, according to his FINRA Brokercheck Report, under review by investor rights attorney Alan Rosca.

The Rosca Scarlato LLC law firm attorneys Alan Rosca and his colleagues are investigating broker Dennis McMillan’s alleged recommendations in GPB investments to a customer.

Investors who are concerned about their investments with McMillan may contact attorney Alan Rosca or his colleagues for a free case evaluation and discussion of potential options, or to provide any useful information, by calling 888-998-0530, via email to arosca@rscounsel.law, or through the contact form on this webpage.

Concerned about investments with

Broker

Customer Alleges Unsuitable Investment Recommendations Against Dennis Shane McMillan

A customer filed a dispute involving McMillan in November 2020 alleging unsuitable investment recommendation reportedly made in November 2016 and June 2017. The customer is requesting $150,000 for the alleged damages.

Rosca Scarlato LLC Law Firm Represents GPB Investors

Earlier this year, the SEC and several state agencies announced actions against GPB Capital Holdings, and its principals for allegedly engaging in a $1.7 Billion fraudulent securities scheme. According to an announcement made by the Massachusetts Secretary of the Commonwealth, over 60 broker dealers were under investigation for their alleged involvement in the GPB scheme.

The Rosca Scarlato LLC law firm represents GPB investors who are seeking compensation for their losses in connection to GPB investments. Investors who would like to learn more about their potential options may contact attorney Alan Rosca or his colleagues for a free case evaluation and discussion or to provide useful information by calling 888-998-0530, via email at arosca@rscounsel.law, or by leaving a message on this page.

Dennis McMillan Has Been Registered with FINRA Since 2006

Broker Dennis McMillan is currently registered as a broker and investment adviser with Arete Wealth Management located in Englewood, Colorado, according to his FINRA Brokercheck page.

He was previously registered with Wealth Navigation Advisors in Centerville, Utah from January 2016 until March 2018.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Concerned about investments with

Broker

Securities Lawyers May Be Able to Help

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating broker Dennis McMillan’s alleged recommendation of GPB investments, among others.

The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who are concerned they may have lost money related to Dennis McMillan’s alleged misconduct may contact attorney Alan Rosca for a free, no-obligation consultation toll free at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

How to contact us?

We can also do a Zoom call to discuss your matter.