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Aaron R. Parthemer Allegedly Assisted in the Sale of over $5 Million in Unregistered Stocks to Football Players without Proper Due Diligence and Disclosure of Conflicts Aaron Parthemer, a former Wells Fargo adviser and Miami Beach nightclub owner, allegedly assisted in the sales of over $5 million in unregistered stocks to pro football players without having conducted due dilige ...
Barry Connell, a Former Morgan Stanley Wealth Manager, Allegedly Stole $5 Million from Clients and Purportedly Used Investor Funds on Personal Expenses Including Luxury Car, Private Jets and Country Club Memberships Barry Connell, a former Morgan Stanley wealth manager, allegedly stole $5 million from clients and purportedly used investor funds on personal expenses, according to SEC Documents cur.
Richard Siskey, a Prominent Charlotte Businessman, Found Dead after an Apparent Suicide; Siskey Had Purportedly Faced Losing Property after Allegations of Fraud Richard Siskey, a prominent Charlotte businessman, has been found dead via gunshot after an apparent suicide, according to News Reports from Charlotte currently under review by attorneys Alan Rosca and James Booker.
Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to Morgan Stanley Customers Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to Morgan Stanley customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.
Wells Fargo’s Mortgage Office, Despite a Major Scandal in Its Consumer Division, Allegedly Put Unauthorized Changes Through to Home Loans Which Were Owned by Customers in Bankruptcy Well Fargo’s Mortgage side allegedly put unauthorized changes through to home loans which were purportedly owned by clients in a state of bankruptcy, according to a new Class Action Suit currently under review by atto.
Heidi Heiser Allegedly Lost Her Job at CenturyLink after during the Process of a Companywide Question-and-answer Session on an Internal Message Board; Heiser, a Former Customer Service and Sales Agent for CenturyLink from August 2015 to October 2016, Alleges a High-Pressure Sales Culture at CenturyLink Inc. Heidi Heiser was terminated from CenturyLink Inc.
Sung Hong and Hyun Joo Hong Allegedly Ran an Investment Fraud Scheme which Purportedly Defrauded Clients out of Hundreds of Thousands of Dollars Sung Hong and Hyun Joo Hong, of Clyde Hill, Washington, allegedly claimed to be experienced investment advisors and also allegedly solicited several million dollars in investor funds from numerous clients, according to Reports from U.S.
Michael A. Mahabir Allegedly Engaged in the Conversion of Customer Funds in the Course of Assisting a Customer Michael Mahabir, of Monrovia, California, allegedly engaged in the conversion of customer funds in the course of assisting a customer of J.P. Morgan’s affiliated bank, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by a ...
David Wesley Wells Allegedly Misappropriated Funds while Serving for the Counsel Trust Group, an Independent Contractor Office Associated with Mid Atlantic Capital Corporation David Wesley Wells, a broker from Hanover, Pennsylvania, allegedly misappropriated funds while serving for the Counsel Trust Group, an independent contractor office associated with Mid Atlantic Capital Corporation, accordin.
Christopher S. Jorgensen Under Investigation Regarding Allegations that His Brokerage Firm, Summit Brokerage Services, Received a Customer Complaint Alleging that Jorgenson Purportedly Directed a Customer to Not Respond to a FINRA Inquiry Christopher Jorgensen was under investigation regarding allegations that his brokerage firm, Summit Brokerage Services, purportedly received a ...
Brent D. Hurt Allegedly Failed to Supervise a Registered Rep from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) Relating to the Sales of a Private Offering Brent Hurt allegedly failed to supervise a registered rep, Eric Johnson from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company.
Mark Sellers Allegedly Orchestrated a Ponzi Scheme with Alleged Help from John Scott Elliott to Purportedly Sell Investments in Kansas City-Based Selden Companies Have you or a loved one lost money investing in Selden Companies LLC? Mark Sellers, the owner of Selden Companies LLC, a Kansas City, Missouri-area based firm, allegedly orchestrated a Ponzi scheme, according to an Action from the Depar.
Thurman P. Bryant, III & His Company Bryant United Capital Funding, Inc. (BUCF) Allegedly Orchestrated a $23 Million Mortgage Investment Scheme Involving up to 100 Investors Thurman P. Bryant, III and his company Bryant United Capital Funding, Inc. (BUCF) allegedly orchestrated a $23 million mortgage investment scheme involving up to 100 investors, according to an SEC Compla ...
Ryan Miguel Allegedly Issued Securities Via a Non-exempt Private Placement Offering Ryan Miguel, a.k.a. Ryan Miguel Pina, a.k.a. Ryan Lee Oliver, and Infinity Fuels allegedly issued securities via a non-exempt private placement offering, according to Documents from the Securities Division of the Arizona Corporation Commission currently under review by attorneys Alan Rosca and James Booker.
Sean Hawkins Allegedly Made Sales of Unregistered Promissory Notes; Hawkins Allegedly Sold over $12.5 Million in Securities to 130 Investors Sean Hawkins, of Colorado Springs-based ASI Capital, allegedly sold more than $12.5 million in securities to 130 investors, between 2012 and 2014, according to Documents from the Colorado Division of Securities currently under review by att ...
American Realty Capital (ARC) New York City REIT, Inc. is Offering its Shares Via a Secondary Market for Private Placement; Broker Sales Practices Investigated Have you or a loved one invested funds in ARC New York City REIT? American Realty Capital (ARC) New York City REIT, Inc. has offered its shares to investors through a private placement, according to reports currently unde ...
Michael Patrick Spolar, Purportedly While Registered with LPL, Allegedly Exercised Discretion in at Least 6 Customer Accounts that Were Unrelated, Non-discretionary Accounts Michael Patrick Spolar, purportedly while registered with LPL, and between February 28, 2013 and April 13, 2015, allegedly exercised discretion in at least 6 customer accounts that were unrelated, non-discretionary accounts, .
Leon Edward Dixon Allegedly Engaged in Private Securities Transactions without Proper Notice to AXA Advisors, LLC Leon Edward Dixon, from approximately April 2014 through October 2015, allegedly engaged in private securities transactions without proper notice to AXA Advisors, LLC, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca a.
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