GPB Complaints Involving Peregrine Private Capital Settle for More than $1 Million


Robert Smith (CRD 1412333) of Peregrine Private Capital has been involved in multiple customer settlements related to GPB Complaints along with his former employer Concorde Investment Services. Robert Smith is also the owner of Peregrine Private Capital. This information is according to Smith’s BrokerCheck Report, which was accessed on January 11, 2022. 2020 Settlements Total […]

Concorde Investment Services Fined over Non-Traded REITs


The New Hampshire Bureau of Securities Regulation recently fined Concorde Investment Services, LLC. Here are the details: Investors were unlawfully charged advisory fees so the agent could “manage” non-traded REITs. This fee should not have been charged because non-traded REITs do not need to be managed. Concorde Investment Services employed an agent that defrauded clients […]

Concorde Rep Daniel Raupp Besieged by Customer Complaints

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Daniel Raupp (CRD #: 4079107), a broker registered with Concorde Investment Services, is involved in multiple customer disputes, according to his BrokerCheck record, accessed on November 10, 2021. Multiple Pending Complaints According to FINRA, Daniel Raupp is currently involved in multiple pending customer disputes.  These disputes allege that Raupp recommended unsuitable investments.  The pending complaints […]