Samir Asaf (CRD#7542674) and FINALIS SECURITIES LLC

The Securities Lawyers at Halling & Cayo, S.C. are interested in talking to customers that believe that they may have potential claims against Samir Asaf (CRD#7542674) related to securities recommended or sold to you. Previously Reported Complaints include:

Claim(s) Made Against Samir Asaf:

Claim Date: 9/23/2025

“Allegation is that Regent Financial and Samir Asaf did not put best efforts and misled Creation Capital that the capital can be raised. Events include signing of a 'best-efforts' engagement agreement signed on Oct 3, 2024. Creation Capital paid Regent a 'non-refundable' $50K DD fee. During Oct 2024-Jan 2025, Regent prepared a 170 page CIM, 2 separate institutional grade financial models, reached out to several hundred investors; referred Creation Capital to law farm 'Doida Crow' for preparation of the PPM, arranged 4 investor calls which were held. Investors asked for additional information from Creation Capital which they were unable to satisfactorily submit. None of the investors were willing to commit capital after speaking to [REDACTED] and [REDACTED] of Creation Capital. While Regent was continuing its efforts to secure additional investors, Creation Capital terminated the mandate. 6 months after terminating the mandate, they filed with FINRA for $79K in compensation.”

This claim, as of this posting, is currently Pending with a claim amount of $79,000.00 .

See more information on FINRA’s BrokerCheck site for Samir Asaf.

Were you a customer of Samir Asaf?

The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing?.) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Samir Asaf and FINALIS SECURITIES LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you are a current or former client of Samir Asaf and FINALIS SECURITIES LLC from SAN JUAN CAPISTRANO, CA, and have encountered any issues or problems with your account or investments, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Samir Asaf, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision. (More information in our video, When can you bring a claim against your financial advisor.)

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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