Andrew Stuart Asset Management & Capital Solutions

The Securities Arbitration Law Firm of Stoltmann Law announced today that it is investigating potential claims against FINRA broker-dealer Andrew Rosenberg and Stuart Horowitz, DBA Andrew Stuart Asset Management and NFP Securities, Inc. Our firm is investigating sales of the Hennessey Financial Monthly Income Fund, LP and Hennessey Fund (now known as) Capital Solutions. Capital Solutions apparently raised equity with mezzanine real estate financing. Mezzanine financing is defined as a debt capital that gives the lender the rights to convert to an ownership or equity interest in the company if the loan is not paid back in time and in full.

Andrew Rosenberg and Stuart Horowitz sold investments in Capital Solutions to customers in Coral Springs, Florida. Allegedly NFP Securities employees represented to investors that Capital Solutions was a safe investment and that paid annual returns of greater than 10%. Broker-Dealers at Capital Solutions may have misrepresented the safety of this investment product. Brokerage firms like NFP Securities , Inc. have a duty to reasonably supervise the activities of their financial advisors. Firms must perform due diligence on investments recommended to clients. Failure to do so can make the brokerage firm liable for the investor losses sustained. To learn about legal choices for recovering securities fraud losses in the Hennessey Financial Monthly Income Fund, LP n/k/a Capital Solutions through FINRA arbitration on a contingency fee basis, please call our law firm for a free evaluation.