Preston Aubrey Spears Allegedly Negligently Supervised the Sale of 1st Global Capital Notes; $27,319,015.00 in Damages Requested
Preston Spears allegedly negligently supervised the sale of 1st Global Capital Notes by three TCM registered representatives , according to a pending customer disputes under review by attorney Alan Rosca.
The aforementioned dispute was filed on December 10, 2018, FINRA states, and is requesting $27,319,015.00 in damages.
Two other pending customer disputes filed on November 15, 2018, and November 5, 2018, respectively, also allege that Spears engaged in Negligent Supervision in the sale of 1st Global Notes by firm’s RR’s during the year of 2017, and is requesting damages of $623,158.00 and $325,000.00, respectively, FINRA states.
Preston Spears has made lengthy comments responding to the aforementioned allegations which can be found on his FINRA BrokerCheck report, FINRA states.
Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Preston Spears’ alleged negligent supervision. Investors who believe they may have lost money in activity related to Preston Spears’ alleged negligent supervision are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Preston Spears Has Six Disclosures on His FINRA BrokerCheck Report, and Has 25 Years in the Securities Industry with 19 Different Firms
Preston Spears has six disclosures on his FINRA BrokerCheck Report, and has worked for 25 years in the securities industry with 19 different firms, FINRA notes.
Preston Spears has been registered with Taylor Capital Management Inc. in Woodstock, Georgia since August 6, 2009, FINRA reports.
Preston Spears was also registered with Resource Horizons Group LLC in Marietta, Georgia from August 23, 2006 until December 31, 2007, and with Raike Financial Group Inc. from November 2, 2004 until April 5, 2006, FINRA states.
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 mentioned in this article, unless otherwise indicated.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Preston Spears’ alleged negligent supervision. The firm takes most cases of this type on a contingency fee basis and advance 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, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Preston Spears’ alleged negligent supervision may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.