Red Flags
18
Roy Gagaza
Roy Gagaza misled investors, illegally sold securities, and profited from deception—his downfall is a lesson in financial fraud and the importance of regulatory oversight.
Quick summary on Roy Gagaza
Roy Gagaza’s transition from decorated military officer to financial advisor appeared promising—until his involvement in the 1 Global Capital fraud shattered his credibility. Once respected for his leadership, Gagaza is now notorious for illegally selling over $10.8 million in unregistered securities, misleading investors with false promises of high returns and financial security.
Unregistered Securities and SEC Violations: The SEC exposed Gagaza’s role in a nationwide fraud scheme that victimized thousands. Marketing unregistered securities as “safe” investments, he assured clients of lucrative returns while failing to disclose the inherent risks. His blatant disregard for securities laws and regulatory oversight underscores a dangerous pattern of deception within the financial advisory industry.
Legal Consequences and Financial Penalties: Rather than fight the allegations, Gagaza settled with the SEC, agreeing to disgorge nearly $158,000 in ill-gotten gains, pay over $16,000 in interest, and accept a $30,000 civil penalty. This settlement, while avoiding criminal conviction, serves as a public admission of his unethical practices and leaves a stain on his professional legacy.
A Cautionary Tale for Investors: Gagaza’s fraudulent activities highlight the risks of entrusting financial advisors without proper due diligence. His case serves as a stark warning to investors: never take financial promises at face value, and always verify an advisor’s regulatory compliance.
Intel Reports
by: Ahmed Al-Farsi
After attending one of Roy's seminars, I was convinced to invest in what he described as a 'safe' opportunity. Turns out, it was part of an unregistered securities scheme. Now, I'm out thousands, and he's facing SEC charges. Do your...
by: Ryan Harris
He is just misleading investors..don't trust at all.......
by: Amelia Young
Safe investment my ass....dude was out here playing Monopoly with real people’s money.
by: Jack Brown
$10.8M in unregistered securities?? That’s not “financial advising,” that’s straight-up fraud with a suit on.
by: Mohammad Hassan
Roy's smooth-talking got me to invest in his unregistered securities. Promised peace of mind and solid returns, but now I'm left with financial stress and regret. His military service doesn't excuse his fraudulent actions. Stay away!
by: Darya Rezaei
Fell for Roy's investment trap. Now I'm broke
by: Yusuf Demir
Roy's financial advice seemed trustworthy, but it led me into illegal investments. Lost a chunk of my savings. Not worth it.
by: Jack Williams
Attended Roy's seminar and was persuaded to invest in what he called a 'secure' opportunity. In reality, it was an unregistered security, and now the SEC is involved. Lost my hard-earned money and faith in financial advisors. Do your due...
by: Olivia Taylor
Roy's investment advice = bad news. Lost my cash
by: Mia Thompson
Invested with Roy after hearing his compelling seminar. He promised high returns with low risk. Now, I'm out thousands, and he's under SEC investigation. His actions are deceitful and damaging. Protect your finances and stay clear.
by: Ethan Harris
Thought Roy's military background meant trustworthiness. Instead, I got scammed into unregistered investments. Beware
by: Arjun Sharma
Invested with Roy, but ended up losing my savings. Feels like a scam
by: Mei Wang
thought Roy was a legit financial advisor, but his involvement in unregistered securities left me high and dry. Not cool.
by: Haruto Tanaka
I trusted Roy with my retirement funds, believing his military background meant integrity. Instead, I got entangled in his unregistered securities scheme and lost a significant portion of my savings. His actions are a betrayal to all his clients. Avoid...
by: Minji Kim
Roy's financial advice led me into a shady investment. Totally regret it.
by: Rizky Putra
Got involved with Roy's investment opportunities, only to find out they were unregistered and illegal. Lost money and trust. Be careful
by: Leila Khalil
Roy's investment schemes are sketchy. Lost my investment