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California Family Law Consults for Lawyers and Non-Lawyer Mediators I (and more recently Michael C. Peterson) have for a number of years made myself available to provide detailed second legal opinions involving a wide range of California family law and divorce topics. Early on these typically were requested by self-represented family law litigants, by non-lawyer parties who ...
Robert L. Gavin, and Daniel J. Hogan, North Dakota Developments LLC — Housing Fraud May 20, 2015 North Dakota Developments LLC, Robert L. Gavin, and Daniel J. Hogan Allegedly Took Part in Fraudulent Practices Regarding Bakken Oil Field Housing Developments North Dakota Developments LLC (NDD), Robert L. Gavin, and Daniel J.
Anthony Spagnolo, III—Opening Customer Accounts Without Authorization May 16, 2015 Anthony Spagnolo, III Allegedly Opened Accounts on Behalf of Eight Customers and Initiated Trades in Said Accounts Without Proper Authorization Anthony Spagnolo, III allegedly opened accounts on behalf of eight customers without their authorization, and initiated trades in said accounts without their authoriza.
Source Capital Group Sanctions — Selling Corporate Bonds at Unfair Prices May 15, 2015 Source Capital Group Allegedly Sold Corporate Bonds at Unfair Prices Source Capital Group, from April 1, 2013 through June 30, 2013, allegedly sold corporate bonds to customers at unfair prices, when taking into consideration all relevant circumstances, according to recent FINRA Letter of Acceptance, Waive.
Michael John Dell’ Olio—Dishonest and Unethical Practices, Including Borrowing from Clients May 14, 2015 Michael John Dell’ Olio Allegedly Engaged in Dishonest and Unethical Practices, Including Borrowing from a Client, Making False Statements, and Forging Documents Michael John Dell’ Olio, formerly of North Atlantic Securities, LLC, allegedly engaged in dishonest and unethical practices, in.
Oil and Gas Company and Its Founder Charged with Fraud Posted on Thursday, May 28, 2015 at 4:43 PM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC filed suit against Texas businessman Brian J. Polito and his company GC Resources, LLC for defrauding investors through the sale of interests in oil and gas wells that the company never owned. According to the SEC, Brian J.
John Michael Bannon- Customer Fund Conversion May 13, 2015 John Michael Bannon Allegedly Converted $74,000 in Customer Funds John Michael Bannon, during April of 2015, allegedly converted at least $74,000 in customer funds, and FINRA has been investigating said allegations, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
Natalie Hall—Forgery of Customer Signatures May 12, 2015 Natalie Hall Allegedly Forged Customer Signatures on an Outgoing Wire Transfer Form and also on an Electronic Funds Transfer Service Form Natalie Hall allegedly copied and pasted a customer’s signature on an Outgoing Wire Transfer Request Form, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
As our viewers are aware, we filed suit against Lower Merion Township regarding its illegal firearm ordinance on March 20, 2015 and its request for a Stay was denied on May 14, 2015. In litigating this matter, on April 30, 2015, I filed a Right to Know Law (RTKL) request seeking documents in the Township’s possession relating to Section 109-16, since the Township filed Preli ...
Stifel Broker Lanis Dale Noble—Churning, Breach of Fiduciary Duty Allegations May 11, 2015 Lanis Dale Noble, Formerly of Stifel Nicolaus, Allegedly Churned and Engaged in Breach of Fiduciary Duty Lanis Dale Noble, formerly of Stifel Nicolaus, allegedly engaged in churning and breach of fiduciary duty, amongst other charges, according to a recently disclosed FINRA dispute resolution document.
1st Discount Brokerage and Mark Miller— Facilitating Customer Liquidations May 10, 2015 1st Discount Brokerage and Mark Miller Allegedly Liquidated Low-priced Securities and Wired Sale Proceeds to Outside Account without Re-investment 1st Discount Brokerage and Mark Miller allegedly facilitated, between December 2009 and July 2010, customer liquidations of approximately 7,764,600 shares from.
Zahir Walji—Undisclosed Outside Business Activities May 7, 2015 Zahir Walji Allegedly Engaged in Two Outside Activities, a Grocery Market and Convenience Store, Undisclosed to UBS Zahir Walji, from April 2011 through October 2012, and while associated with UBS, took part in two outside business activities and participated in six private securities transactions without providing prior written.
RBC—Failure to Establish Adequate Supervisory Systems May 8, 2015 RBC Allegedly Failed to Establish Adequate Supervisory Systems Regarding Reverse Convertibles Which Incurred $1.1 Million in Customer Losses RBC, between 2008 and 2012, allegedly failed to have supervisory systems in place and procedures reasonably designed to ensure compliance with applicable securities laws an ...
Christopher A. Novinger, Brady J. Speers, NFS Group– Fraudulent Life Settlement Sales – Pending Investigation May 6, 2015 Christopher A. Novinger, Brady J. Speers, and Their NFS Group Allegedly Sold Fraudulent Life Settlement Interests to Investors as Part of So-Called Retirement Planning Scheme Christopher A. Novinger, Brady J.
When you bring a pet into your family, the decision comes with a responsibility and a liability. Dogs and cats have always been favorite pets; however, there are also various other pets that are favored. These include birds, snakes, other reptiles, primates, rats, and larger cats. When you decide to own a pet, the decision comes with a responsibility and a liability.
Investment Schemes Targeting Retirees May 5, 2015 More and More Financial Schemes Targeting Seniors and Retirees As more and more baby boomers enter their retirement years and the economy remains flat, a growing number of reports are surfacing that more and more financial schemes are targeting seniors.