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Gregory Gray Allegedly Bilked Influential Central New Yorkers; Gray Allegedly Used Investor Money to Pay Other Investors Rather than Purchasing Shares of Uber for Investors Gregory Gray, 41, of Buffalo, New York, allegedly perpetuated a $5 million Ponzi scheme involving influential Central New Yorkers, according to reports from Federal prosecutors in Manhattan currently under review by attorneys .
Donald Watkins, a Well-known Alabama Attorney, Allegedly Defrauded Professional Athletes and Assorted Investors Claiming to Use Funds to Foster Waste-to-Energy Ventures Donald Watkins and his Watkins Pencor LLC and Masada Resource Group LLC allegedly orchestrated a multi-million dollar investment luring pro athletes and other investors to put their hard-earned cash to foster purported waste-to-en.
Donald Shelby Toomer Allegedly Participated in a Stock Price Manipulation of Three Low-priced, Purportedly Speculative Securities Including NXT Nutritionals Holdings, Inc. (NXTH), Clear-Lite Holdings, Inc. (CLRH), and Mesa Energy Donald Shelby Toomer allegedly participated in a stock price manipulation scheme of three low-priced, purportedly speculative securities, according to ...
Richard Lee Allegedly Made Unsuitable Recommendations of an Active Trading Investment Strategy to His Customers Richard Lee, who has been associated with CISC since July 9, 2013, allegedly made unsuitable recommendations for an active trading investment strategy, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.
Avenir Financial Group Allegedly Engaged in Acts of Fraud Including Self-offering of Securities and Fraudulent Sale of Equity Interest in the Firm Avenir Financial Group, a NY-based firm, allegedly self-offered securities, according to Documents from FINRA currently under review by attorneys Alan Rosca and James Booker.
Peter Kohli Allegedly Sold Marshad Promissory Notes in a “Desperate Attempt” to Raise Funds to Cover Fund Expenses and Postpone the Inevitable Doom Peter Kohli’s DMS Advisors was allegedly in trouble. Kohli, as part of an attempt to rescue the fund, allegedly misappropriated money purportedly solicited to invest in DMS’s holding company, Marshad Capital Group, according to SEC D ...
Glen Rauch Allegedly Orchestrated a Various Assortment of Serious Sales Practice Violations Which Displayed Disregard for FINRA Rules Glen Rauch allegedly orchestrated a variety of serious sales practice violations which displayed dishonesty, evasiveness, and a venerable disregard for FINRA Rules leading to customer losses, according to a Complaint from FINRA’s Department of Enforcement currently.
Markel Newton Allegedly Participated in Three Private Placement Offerings Involving Purported Negligent Misrepresentations and Omissions Markel Newton allegedly participated in three private placement offerings involving purported negligent misrepresentations and omissions, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James.
Ameriprise Financial Allegedly Failed to Supervise a Broker who Purportedly Took Advantage of Family Members, Taking in More than $370,000 from Five Ameriprise Customers An Ameriprise Financial allegedly failed to supervise a rep who purportedly took advantage of his family for financial gain, according to FINRA Documents currently under review by attorneys Alan Rosca and James Booker.
Bryan Lee Addington Allegedly Ran a $3.5 Million Scheme which Defrauded Numerous Investors Bryan Lee Addington, of Ethel, Louisiana, allegedly ran a $3.5 million scheme which defrauded numerous investors, according to a Federal Indictment from the U.S. Attorney’s Office for the Middle District of Louisiana currently under review by attorneys Alan Rosca and James Booker.
Aegis Oil, LLC and its President and CEO Patrick Reagan Beason Allegedly Defrauded Investors in Oil and Gas Projects Managed by Aegis Aegis Oil, LLC and its President and CEO Patrick Reagan Beason allegedly defrauded investors in Oil and Gas Projects managed by Aegis, according to SEC Documents currently under review by attorneys Alan Rosca and James Booker.
Jerome “Joe” Bonnett Jr. Allegedly Ran a Meticulous $1.35 Million Ponzi Scheme Involving a Few of His 83 Clients Jerome “Joe” Bonnett Jr., of Omaha, Nebraska, allegedly operated a $1.35 million Ponzi Scheme involving a few of his 83 clients, according to reports from Douglas County. Said reports also made note that Bonnett Jr.
Investors Capital Corp., a Broker-dealer in the Cetera Financial Group Network, Allegedly Made Unsuitable Short-term Trading of UITs Investors Capital Corp., a broker-dealer in the Cetera Financial Group Network, allegedly made recommendations of unsuitable short-term trading of UIT’s, according to FINRA Documents currently under review by attorneys Alan Rosca and James Booker.
Traffic Monsoon and Charles Scoville are alleged to have conducted a fraudulent scheme that spanned continents, affected over 160,000 Traffic Monsoon members/investors and raised over $200 million according to a federal lawsuit filed by the Securities and Exchange Commission. That lawsuit is ongoing and the court has appointed a receiver.
Jeffrey Hamilton Howell Allegedly Created and Sent His Customers Over 300 Weekly Stock Trading Reports Misstating Values Ranging from $289,000 to Approximately $3,000,000 Jeffrey Hamilton Howell, from September 2008 through November 2014, allegedly created and sent his customers over 300 weekly stock trading reports misstating account values ranging from $289,000 to approximately $3,000,000, acco.
New Orleans stockbroker fraud attorney United Development Funding IV investors represented by Peiffer Rosca Wolf investor right lawyers have started filing claims against brokerage firms that sold them unsuitable UDF products. The Peiffer Rosca Wolf attorneys overseeing the securities arbitration claims filed on behalf of clients, Alan Rosca and James Booker, are working to f ...
United Development Funding investors are continuing to contact the Peiffer Rosca Wolf law firm in the wake of the news regarding UDF’s receipt of a Wells Notice from the Securities and Exchange Commission and UDF IV being suspended from trading on Nasdaq. Hundreds of UDF investors have contacted the Peiffer Rosca Wolf investor right lawyers.
Alec Rivera Allegedly Transferred Over $1 Million from Client Accounts without Consent Alec Rivera, from 2010 to 2013, allegedly transferred over $1 million from client accounts without consent and purportedly put the cash into other accounts, according to Court Documents from Chicago currently under review by attorneys Alan Rosca and James Booker.
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