Category Archives: John Carris Investments

Vincent Pereira- Private Placement Customer Complaints Settled

According to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include:

  • Blackbook Capital                       11/2014-2/2015
  • Source Capital Group                 6/2014-11/2014
  • John Carris Investments           2/2014-6/2014
  • Rockwell Global Capital            10/2011-2/2014
  • Rockwell Global Capital            12/2008-3/2011

In 3/2014, Pereira pled guilty to  misdemeanor petit larceny from a store in the criminal court of the City of New York and was sentenced to 1 day of community service.

Pereira has settled five customer disputes, including:

FINRA Case 11-3539– customer alleged that while Pereira was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $100,000 private placement investment. The case was settled for $35,000.

FINRA Case 11-3373-customer alleged that while he was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $150,000 private placement investment. The case was settled for $40,000.

FINRA Case 11-3003-customer alleged that while he was employed by Rockwell Global Capital, Pereira made false statements, was negligent and breached his contract duty in connection with a $300,000 private placement investment. The case was settled for $150,000.

FINRA Case 11-3586-customer alleged that while he was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $50,000 private placement investment. The case was settled for $20,000.

FINRA records report seven outstanding judgments and liens, including an Internal Revenue Service lien of $25,817. See FINRA report for full details.

If you have questions about an account handled by Vincent Pereira, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Garden State Securities Broker Darnell Deans Sanctioned by FINRA

UPDATE October 12, 2015Darnell Deans entered into an Order Accepting Offer of Settlement with FINRA (case# 2012030677101) agreeing to the following sanctions:

  • suspended from association with any FINRA member in any and all capacities for eight months
  • a fine of $10,000
  • required to requalify by examination as a General Securities Representative prior to association with any member firm in that capacity.

February 6, 2015

Darnell A. Deans was named in a disciplinary proceeding filed by the Financial Industry Regulatory Authority (FINRA) alleging that he failed to disclose federal tax liens of over $250,000 on FINRA regulatory filings. The proceeding also alleges that Deans , while associated with Garden State Securities,  borrowed $266,000 from customers of the firm without seeking or obtaining the firm’s approval. Disciplinary proceeding 2012030677101. 

FINRA records indicate that Deans was registered with Garden State Securities from 1/2005-11/2013. He was registered with John Carris Investments 1/2014-6/2014 and is currently registered with Blackbook Capital LLC.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870