As Summit’s sole owner and investment adviser representative, President, and Chief Compliance Officer, Richard Urciuoli was responsible for Summit’s failures
Masella, who knew the private placement shares were illiquid and restricted, worked with Pinnacle and its principals to classify the investment as “less liquid” rather ...
"This conduct was inconsistent with the prospectuses for the LETFs, which stated that the products carried unique risks, were designed to be held for no ...