Brian Pebley and Rainmaker Securities LLC
We are currently investigating allegations made against Brian Pebley, a financial advisor from Johnstown, Colorado who previously worked with Rainmaker Securities, LLC. The Illinois Securities Department brought a regulatory complaint against Mr. Pebley making various allegations, including that Pebley sold notes in a company called Ten X Holdings LLC.
According the Illinois Securities Department complaint, during 2010, Brian Pebley solicited at least one Illinois investor, and possibly three others, to invest money in Ten X Holdings LLC. However, the notes for Ten X Holdings have stopped paying interest, and investors may have lost money.
Brian Pebley was a registered representative and financial advisor Rainmaker Securities LLC from January 2010 to July 2010. He worked at a branch office in Lakewood, Colorado and lives in Johnstown, Colorado.
Broker-dealers like Rainmaker Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Illinois. Both of our attorneys are licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James Financial Services, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Brian Pebley or Rainmaker Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.
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