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Christopher Laws, as Part of an Entity Called Keystone Capital Partners, Allegedly Implemented a Fraud Scheme which Defrauded 200 Federal Staff Members; Laws and Keystone Purportedly Moved over $40 Million of Thrift Savings Plan Pension Funds into Expense Annuities, the SEC Reports A former financial consultant, Christopher S.
Luxury Real Estate Developer Woodbridge Group of Companies Files for Bankruptcy during the Middle of an SEC Investigation; Woodbridge Has Allegedly Cited Expansion Costs, Litigation, and a Government Fraud Investigation Luxury real estate developer Woodbridge Group of Companies filed for Chapter 11 bankruptcy on Monday, citing costs of expansion, litigation and a government fraud investigation, a.
Robert H. Hoffmann Allegedly Engaged in Unsuitable Trading Recommendations, Unauthorized Transactions, Excessive Trading, and Private Securities Transactions Robert Hoffmann, who was registered with Woodbury Financial Services in Greenwood, Indiana from July 2006 through March 2017, allegedly engaged in potential unsuitable recommendations, unauthorized transactions, excessive t ...
Victor M. Dandridge III Allegedly Diverted Customer Funds to Accounts at His Member Firm to Accounts and Businesses He Controlled Victor Dandridge allegedly diverted customer funds from accounts held at his member firm to accounts and businesses that he controlled, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Ro ...
Sylvester King Jr. Allegedly Sold over $5 Million Unregistered, Illiquid Securities to Certain Professional Athletes and Investment Advisory Clients in an Internet Branding Company Known as Global Village Concerns, Inc. or GVC Sylvester King Jr., starting in 2009 and continuing into 2012, allegedly participated in sales of over $5 million of unregistered, illiquid securities to ...
$1.7 Million Whistleblower Award Given to a Company Insider who Provided the SEC with Crucial Information to Assist in Preventing a Fraud Which Might have Been Very Hard to Detect Otherwise The Securities and Exchange Commission announced a whistleblower award on July 27th of more than $1.7 million to a company insider who provided said agency with highly important information t ...
Several Investors into Adageo Energy Have Allegedly Been Given Recommendations off Potentially Unsuitable Investments into a Number Oil and and Gas Related Ventures Have you or a loved one invested your hard-earned money into investments related to Adageo Energy? Peiffer Rosca Wolf securities practice lawyers are investigating potentially unsuitable or improper investment recommendations pertain.
Woodbridge Mortgage Investment Fund Allegedly Engaged in the Offer and Sale of Unregistered Securities, the Sale of Securities by Unregistered Brokers, and the Commission of Fraud in Connection with the Offer, Purchase, and Sale of Securities Woodbridge Mortgage Investment Fund, of Sherman Oaks, California, allegedly engaged in the offer and sale of unregistered securities, the sale of securities.
Jerry Lou Guttman Allegedly Sold over $7,000,000 worth of Membership Interests in at Least Six Different Limited Liability Companies to 31 Firm Customers and Seven Non-customers without First Disclosing the Sales to United Planners Jerry Lou Guttman, from September 2008 through May 2017, allegedly sold more than $7 million worth of membership interests in at least six different limited liability .
Jeffrey M. Johnson Allegedly Failed to Notify Morgan Stanley, His Member Firm, of an Outside Business Activity and Purportedly Participated in Private Securities without Receiving Approval from the Firm Jeffrey Johnson allegedly failed to notify his member firm of an outside business activity and purportedly participated in private securities without receiving approval from the ...
Steven Simmons Recently Pleaded Guilty to One Alleged Count of Conspiracy after Being Charged in an Alleged $81 Million “Hamilton” Ponzi Scheme Steven Simmons, 48, of Wilton, Connecticut, was charged in January in an alleged $81 million “Hamilton” Ponzi scheme and subsequently pleaded guilty Monday to one count of conspiracy, according to Court Reports from a Manhattan federal court currently und.
David Albert Ross Allegedly Accepted Customer Loans, Totaling $89,000, without Disclosure and also Allegedly Engaged in Two Undisclosed Outside Business Activities David Albert Ross, beginning in 2008 and up to his termination in 2016, and during his employment with two member firms (Signator Investors, Inc. and Woodbury Financial Services, Inc.
Jay Costa Kelter, a Former Investment Advisor and Formerly Known as Ignatius J. Costa, III, Allegedly Defrauded an Elderly Brentwood Woman out of $1.4 Million Jay Costa Kelter, 48, and formerly known as Ignatius J. Costa, III, allegedly defrauded an Elderly Brentwood out of about $1.4 million, according to Court Documents from the U.S.
Gopi Krishna Vungarala Allegedly Induced a Native American Tribe to Invest Hundreds of Millions of Dollars in Non-traded Real Estate Investment Trusts and Business Development Companies, without Disclosing that He and His Firm Took Commissions on the Sales Gopi Vungarala, from at least June 2011 through January 2015, and through his firm, PKS, allegedly regularly lied to his customer, known only .
Landon L. Williams – Alleged False and Misleading Statements to Customers and/or Allegedly Failed to Disclose Material Information about Securities Transactions that he was Purportedly Recommending to Customers Landon Williams, between March 5, 2014 and July 23, 2014, allegedly participated in telephone conversations with customers wherein he made false and misleading statements ...
David Apted Allegedly Engaged in Private Securities Transactions with Two Customers who Invested over $300,000 in a Venture-capital Fund David Apted allegedly engaged in private securities transactions with two customers who invested over $300,000 in a certain venture-capital fund, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Ros.
Jamil Ahmed Allegedly, on at Least Three Occasions, Allegedly Borrowed a Total of over $5,000 from a Customer of his Member firm, an Alleged Action which the Firm’s Written Procedures Specifically Prohibited Jamil Ahmed, on at least three occasions, allegedly borrowed a total of over $5,000 from a customer of his member firm, MetLife, which the firm’s written procedures specifically prohibited, a.
Sam Peter Paolini Allegedly Converted $7,000 from a Customer Sam Paolini allegedly converted $7,000 from a customer, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker. Investors who believe they may have lost money in activity related to Sam Paolini’s alleged customer conversion of $7,000 are ...
Steven John Meyer Allegedly Engaged in Churning and Unsuitable Excessive Trading in the Accounts of Four Customers, Two of whom were Senior Citizens Steven Meyer, of Staten Island, New York, allegedly engaged in churning and unsuitable excessive trading in the accounts of four customers, two of whom were senior citizens, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presen.
Robert Baldwin Del Guercio Allegedly Engaged in Sales Practice Violations Robert Baldwin Del Guercio, of Iselin, New Jersey, allegedly engaged in sales practice violations, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker.