Silver Law Group is investigating former Illinois-based Transamerica Financial Advisors, Inc. broker Robert Perta (CRD# 536528) after a customer filed a claim alleging over $4.2 million in damages.
The complaint, filed in the Federal Court in December 2017, alleges that Perta was involved with a scheme to misappropriate investor money by FINRA-barred broker Daniel Glick (CRD# 2175655). Glick, also formerly employed by Transamerica Financial Advisors, allegedly solicited money from investors into his businesses so he could steal money from his customers. Glick allegedly stole the money and covered it up by lying to his customers and, in some cases, manufacturing false account statements. Across all plaintiffs, the complaint alleges approximately $6.5 million in damages.
In January 2018, the SEC reported that Glick pled guilty to one count of wire fraud in the criminal case against him. According to the plea agreement, from at least 2011 through at least 2017, Glick engaged in a fraudulent scheme to benefit himself by defrauding his clients.
Perta served as some of the plaintiffs’ accountant for over 20 years. According to the complaint, Perta improperly provided the Warden’s personal and financial information to Glick in an effort to defraud them out of their investment funds. Perta’s customers had the largest amount of damages according to the complaint at $4.2 million. Some of Perta’s customers were elderly.
Transamerica Financial Advisors employed Perta from 2012 until 2018 at its Oakbrook, Illinois location. Perta operated under the business moniker The Oakbrook Accountants. Perta is no longer employed by Transamerica Financial Advisors and is not currently registered with FINRA.
Contact Our Firm if You’ve Lost Money Investing in Essex Capital Corporation
If you’ve lost money investing with Robert Perta, Daniel Glick, and/or Transamerica Financial Advisors, we may be able to help you recover your losses. Contact our firm today to learn how we can try to recover your losses. We work on a contingency fee, meaning if we don’t recover money you owe us nothing. Our lawyers have extensive experience in claims against banks, accountants and financial advisors who aid or assist in fraud.
Elder financial fraud and stockbroker misconduct is a recognized growing problem. Silver Law Group is a leading law firm representing senior citizens, retirees and the elderly in elder financial fraud cases including those against stockbrokers and other financial advisors who violate SEC and FINRA rules and regulations. Our attorneys frequently lecturer about FINRA rules intended to protect the elderly from financial fraud.
Silver Law Group represents the interests of investors who have been the victims of investment fraud. Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. Please contact Scott Silver of the Silver Law Group for a free consultation at ssilver@silverlaw.com or toll free at (800) 975-4345.