• Victor Dandridge — Alleged Diversion of Customer Funds

    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 ...

    Alan Rosca/ Investment Fraud Lawyers- 11 readers -
  • SEC Announces $1.7 Million Whistleblower Award

    $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 ...

    Alan Rosca/ Investment Fraud Lawyers- 11 readers -
  • Adageo Energy— Alleged Sales of Private Placement Offerings

    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.

    Alan Rosca/ Investment Fraud Lawyers- 15 readers -
  • Jerry Lou Guttman — Private Securities Transactions

    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 .

    Alan Rosca/ Investment Fraud Lawyers- 13 readers -
  • Steven Simmons— Ponzi Scheme

    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.

    Alan Rosca/ Investment Fraud Lawyers- 13 readers -
    Earlier about the same topic:
  • Gopi Vungarala — Alleged Investment Fraud

    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 .

    Alan Rosca/ Investment Fraud Lawyers- 13 readers -
  • Landon Williams – Alleged False and Misleading Statements to Customers

    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 ...

    Alan Rosca/ Investment Fraud Lawyers- 11 readers -

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