David Michael Miller— Unsuitable Recommendations Regarding Investment Trusts

David Michael Miller Allegedly Made Unsuitable Recommendations Regarding Investment Trusts

David Michael Miller, a broker with Huntington National Bank in Columbus, Ohio, allegedly recommended 140 unit investment trust purchases which totaled more than $5.3 million in 129 customer accounts, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

David Michael Miller allegedly made said negligent misrepresentations and omissions of material fact in connection with seven customers’ purchases of UITs, the aforementioned Complaint reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating David Michael Miller’s alleged unsuitable recommendations regarding investment trusts.

David Michael Miller Allegedly Failed to Educate Himself Regarding the Features and Risks of UITs, Ordered by FINRA to Disgorge $15,161.54 as a Fine Plus Interest and Pay Restitution of $799,161.07, Plus Interest

David Michael Miller was allegedly scolded by regulators for allegedly not having properly gained suitable education regarding the features and risks of the aforementioned products, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

David Michael Miller, as a result of the aforementioned behavior, allegedly violated FINRA Rules, and hence was also ordered by FINRA to disgorge as a fine $15,161.54, plus interest, and pay restitution of $799,161.07, plus interest, the aforementioned Complaint reports.

In sum, Miller’s alleged unsuitable recommendations and misrepresentations and omissions caused his customers to lose a total of $1,019,656.83, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unsuitable recommendations, and are currently investigating David Michael Miller’s alleged unsuitable recommendations regarding investment trusts.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of David Michael Miller’s alleged unsuitable recommendations regarding investment trusts are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Steven E. Larson– False Statements and Material Omissions of Fact

Steven E. Larson Allegedly Made a Series of False Statements and Material Omissions of Fact both to His Customers and to FINRA

Steven E. Larson, of Nisswa, Minnesota, allegedly made a series of false statements and material omissions of fact, both to his customers and to FINRA, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Steven E. Larson‘s alleged misrepresentations and omissions to customers concerned the present values and safety of “church bonds”, and approximately 30 of Larson’s customers allegedly held at least one church-bond position in their brokerage accounts, with holdings including bonds from 15 distinct issuers, the aforementioned Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Steven E. Larson’s alleged series of false statements and material omissions.

Steven E. Larson Allegedly Knew or Should Have Known that at Least Nine Issuers had Defaulted, Gone through Foreclosure or Restructuring, or Filed for Bankruptcy

Larson knew or should have known that at least nine of these issuers had defaulted, gone through foreclosure or restructuring, or filed for bankruptcy, according to the aforementioned Complaint being examined by attorneys Joe Peiffer and Alan Rosca.

One of the aforementioned issuers was Bethel Baptist Institutional Church, Inc, that had been in default since January 2010 on bonds held by some of Larson’s customers, the Complaint notes.

Other issuers allegedly involved were Windermere Baptist Conference Center which had been in default on its bond payments since early 2011, and Orlando Central Community, Inc. which had been in default since August 1, 2010 with 100% of the original principal amount, plus interest, outstanding, the Complaint further reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of false statements and material omissions, and are currently investigating Steven E. Larson’s alleged false statements and material omissions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Steven E. Larson’s alleged false statements and material omissions are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Stephen Michael Oliveira and Equinox Securities—Excessive Trading and Account Churning

New Orleans stockbroker fraud attorney

Stephen Michael Oliveira and Equinox Securities Allegedly Engaged in Excessive Trading and Churning of Six Customers’ Accounts

Stephen Michael Oliveira and Equinox Securities allegedly engaged in excessive trading and churning six customers’ accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Stephen Oliveira, Equinox’s President, Chief Compliance Officer and Designated Supervisor, allegedly reviewed each transaction and was aware of the purported misconduct but rejected any responsibility to actively stop the harm, the AWC notes.

As a result hundreds if not thousands of transactions in each account, huge aggregate amounts of commissions, annualized cost-to-equity ratios that exceeded 100 percent, and collective losses that exceeded $800,000, the AWC reports. The Peiffer Rosca Wolf securities lawyers are currently investigating Stephen Oliveira’s alleged excessive trading.

Stephen M. Oliveira Allegedly Reviewed Each Transaction and Was Aware of Misconduct but Rejected Any Responsibility to Intercede and Stop the Harm; Equinox Expelled and Oliveira Barred, Suspended and Fined $25,000

Stephen M. Oliveira, Equinox’s President, Chief Compliance Officer and Designated Supervisor, allegedly reviewed each transaction and was purportedly aware of the misconduct, but rejected any responsibility to intercede and stop the harm, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

As a result Oliveira and Equinox violated NASD and FINRA Rules, and hence, Equinox has been expelled and Oliveira has been barred, suspended and fined $25,000, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Stephen M. Oliveira and Equinox’s alleged excessive trading and churning of six customers’ accounts.  One should also note that, according to the AWC, Stephen M. Oliveira and Equinox neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged mislabeling of private securities transactions, and are currently investigating Stephen M. Oliveira and Equinox’s alleged excessive trading and churning of six customers’ accounts.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Stephen M. Oliveira and Equinox’s alleged excessive trading and churning of six customers’ accounts may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Ash Narayan– Multi-million Dollar Fraud Scheme

Ash Narayan Allegedly Operated a Multi-million Dollar Fraud Scheme Wherein He Purportedly Directed Clients into High-risk Investments in Ticket Reserve Inc. (TTR)

Ash Narayan allegedly operated a multi-million dollar fraud scheme wherein he purportedly directed clients into high-risk investments in Ticket Reserve Inc. (TTR), according to a Complaint from the SEC’s U.S. District Court (Northern District of Texas) currently under review by attorneys Alan Rosca and James Booker.

Ash Narayan, in addition to engaging in the TTR scheme, allegedly and knowingly or recklessly lied to his clients about his qualifications, the SEC reports. Narayan also allegedly proclaimed himself to be a Certified Public Accountant (CPA), but in reality never has been a CPA, the aforementioned Complaint reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Ash Narayan’s alleged multi-million dollar fraud scheme.

Ash Narayan Allegedly Attempted to Conceal the Aforementioned Scheme by Making Fraudulent Documents and Making Ponzi-like Payments in Order to Hide TTR’s Huge Losses from Narayan’s Clients

Ash Narayan allegedly attempted to conceal the aforementioned scheme by creating fraudulent documents, some purportedly backdated, and by making Ponzi-like payments in order to hide TTR’s huge losses from Narayan’s clients, according to the aforementioned Complaint currently under review by attorneys Alan Rosca and James Booker.

Ash Narayan, who was employed as an investment adviser representative and Managing Partner in the California office of Dallas-based RGT Capital Management, Ltd., invested over $33 mi11ion of his advisory clients’ assets in TTR, said Complaint notes.

Ash Narayan allegedly performed said actions regularly and without the knowledge of consent from clients, and sometimes using forged or copied signatures, the Complaint reports. Narayan, the Complaint further alleges, did not tell his clients key information that he knew about TTR, including that TTR was allegedly financially distressed.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment fraud schemes and Ponzi schemes, and are currently investigating Ash Narayan’s alleged investment fraud scheme.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Ash Narayan’s alleged investment fraud scheme are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Robert Turpin– Sale of Private Securities Transactions, Undisclosed Outside Business Activities

Robert Turpin Allegedly Participated in the Sale of Private Securities Transactions and Engaged in Undisclosed Outside Business Activities

Robert Turpin allegedly participated in the sale of private securities transactions and engaged in undisclosed outside business activities, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Source Capital Group, on September 4, 2015, filed a Uniform Termination Notice for Securities Industry Registration with FINRA allegedly disclosing that it had discharged Turpin on September 4, 2015, and Turpin’s registration with the Source ended on September 4, 2015, the AWC also reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert Turpin’s alleged series of false statements and material omissions.

Robert Turpin Barred for Failure to Provide Documents and Information in the Course of a FINRA Investigation

Robert Turpin received a request from FINRA staff requesting documents and information pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Turpin allegedly acknowledged the FINRA request, but purportedly refused to provide the requested documents, and hence, violated FINRA Rules, the AWC notes. Turpin, as a result, has been barred by FINRA, the AWC further alleges.

One should also note that, according to the AWC, Robert Turpin neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of the sale of private securities transactions and engaged in undisclosed outside business activities and are currently investigating Robert Turpin’s sale of private securities transactions and engaged in undisclosed outside business activities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Robert J. Turpin’s sale of private securities transactions and engaged in undisclosed outside business activities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Justin K. Wine – Private Securities Transactions

Justin K. Wine Allegedly Engaged in a Private Securities Transaction with DS, a Micro-loan Company Based in the British Virgin Islands

Justin K. Wine allegedly engaged in a private securities transaction with DS, a micro-loan company based in the British Virgin Islands, ), according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Wine allegedly introduced and recommended an investment in DS to three of his LPL Financial customers, without providing prior written notice to LPL, one of whom ultimately invested in DS, said AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Justin K. Wine’s alleged private securities transaction.

Justin K. Wine Suspended Two Months and Fined $12,500 by FINRA; Allegedly Engaged in Outside Business Activities with TDC, an Event Creation Firm

Justin K. Wine also allegedly engaged in outside business activities with TDC, an event creation and production company that organizes and produces an annual food festival in Washington D.C., according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

Wine also allegedly assisted TDC in its attempts to secure a small business loan or alternative funding, the AWC notes. As a result of the aforementioned behavior, Wine violated FINRA Rules and hence, has been suspended for two months and fined $12,500 by FINRA, the AWC reports.

One should also note that, according to the AWC, Justin K. Wine neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged private securities transactions and are currently investigating Justin K. Wine’s alleged engagement in a private securities transaction. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Justin K. Wine’s alleged engagement in a private securities transaction are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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John S. Hudnall– Undisclosed and Unapproved Private Securities Transaction

John S. Hudnall Allegedly Participated in an Undisclosed and Unapproved Private Securities Transaction, Made Unapproved and Undisclosed Financial Sales Promotions to Firm Customers

John S. Hudnall allegedly participated in an undisclosed and unapproved private securities transaction, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Furthermore, John S. Hudnall also allegedly made unapproved and undisclosed financial sales promotions to firm customers, recommended and sold an unsuitable variable annuity product and provided false information, said Complaint also notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating John S. Hudnall’s alleged participation in an undisclosed and unapproved private securities transaction.

John S. Hudnall Allegedly Recommended and Sold an Unsuitable Variable Annuity Product and Purportedly Provided False Information in Response to FINRA Information Requests

John S. Hudnall allegedly provided false information in response to FINRA information requests, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Hudnall, in addition, on May 9, 2012, allegedly recommended and sold a $400,000 Wells Core Office Income REIT investment to an 80-year old BancWest customer known only as AFJ which he split into two simultaneous transactions of $40,000 and $360,000, the Complaint also notes.

Hudnall, to allegedly circumvent BancWest’s supervisory review of such a large transaction, Hudnall purportedly executed the $360,000 portion of the REIT Investment directly with the REIT sponsor while submitting only the $40,000 portion to BancWest for its supervisory review, the Complaint also reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of undisclosed and unapproved private securities transactions, and are currently investigating John S. Hudnall’s undisclosed and unapproved private securities transaction.   They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of John S. Hudnall’s undisclosed and unapproved private securities transaction are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Stephen Silver– Private Securities Transactions

Stephen Silver Allegedly Participated in Private Securities Transactions by Facilitating the Sale of Shares of an Australian Gold Mining Company to a Singapore-based Gold Company

Stephen Silver allegedly participated in two private securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Silver’s alleged private securities transactions purportedly facilitated the sale of shares of an Australian gold mining company to a Singapore-based gold company, said Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Stephen Silver’s alleged private securities transactions.

Stephen Silver Suspended and Fined $10,000 by FINRA

The gross proceeds of the aforementioned transactions allegedly exceeded $6 million, and Stephen Silver allegedly received compensation in the amount of $200,000 for his participation, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Silver allegedly failed to provide written or any other notification of his participation to his employer member firm, Casimir Capital, at any time, and hence, by said conduct, Silver allegedly violated NASD and FINRA Rules, said Complaint notes.

Silver, as a result of the aforementioned behavior, has been suspended, fined $10,000 and ordered to pay disgorgement in the amount of $40k, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of private securities transactions, and are currently investigating Stephen Silver’s alleged private securities transactions.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Stephen Silver’s alleged private securities transactions are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Mark B. Beloyan and TradeSpot Markets, Inc.—Penny Stock Recommendations without Proper Compliance

Mark B. Beloyan and TradeSpot Markets, Inc. Allegedly Recommended Penny Stocks and Took Part in Penny Stock Transactions without Proper Compliance

Mark B. Beloyan and TradeSpot Markets, Inc. allegedly recommended penny stocks and engaged in penny stock transactions without the proper required compliance for penny stock transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Beloyan allegedly sent customers a Customer Suitability Statement for their review and signature without first documenting an affirmative determination of suitability on the document, the Complaint also alleges.

The Peiffer Rosca Wolf securities lawyers are currently investigating Mark B. Beloyan’s alleged recommendation of penny stocks without the proper required compliance.

Mark B. Beloyan of TradeSpot Markets Allegedly Recommended Penny Stocks to Customers but Failed to Make Affirmative Determinations of Suitability

Mark B. Beloyan and TradeSpot Markets, Inc. allegedly recommended penny stocks to customers but failed to make affirmative determinations of suitability, in violation of FINRA Rules, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Mark B. Beloyan, in addition, allegedly inappropriately completed the dates next to certain customer signature lines on Customer Suitability Statements and Agreement to Purchase forms before sending said documents to customers, the Complaint notes.

FINRA notes that the aforementioned conduct allegedly occurred while trading shares of Mondial Ventures, Inc. and STW Resources Holding Corp, and further alleges that Beloyan often entered information on the customer’s suitability form after the customer had signed it, the Complaint reports.  FINRA is reportedly seeking to fine Beloyan and TradeSpot Markets for this conduct.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unsuitable recommendations of penny stocks and are currently investigating Mark B. Beloyan’s alleged recommendation of penny stocks and engagement in penny stock transactions without the proper required compliance alleged private securities transactions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Mark B. Beloyan’s alleged recommendation of penny stocks and engagement in penny stock transactions without the proper required compliance alleged private securities transactions are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Lizabeth Gotuaco Ty – Selling Unregistered Securities

Lizabeth Gotuaco Ty Allegedly Sold Unregistered Securities while Registered with Park Avenue Securities, LLC

Lizabeth Gotuaco Ty allegedly sold unregistered securities while registered with Park Avenue Securities, LLC, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Park Avenue Securities, on March 18, 2016, reportedly filed an Amended Form U5 with FINRA disclosing that a number of claimants had filed statements of claim with FINRA alleging that Ty sold unregistered securities, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Lizabeth Gotuaco Ty’s alleged sale of unregistered securities and private securities transactions.

Lizabeth Gotuaco Ty Barred for Alleged Failure to Provide Documents and Information during the Course of an Investigation into Allegations that Ty Sold Unregistered Securities

Lizabeth Gotuaco Ty allegedly failed to provide documents and information as requested by FINRA staff in a letter dated April 19, 2016, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Lizabeth Gotuaco Ty, by refusing to produce said documents and information as requested pursuant to FINRA Rules, allegedly violates FINRA Rules. As a result, Lizabeth Gotuaco Ty allegedly consented to the imposition of a bar from associating with any FINRA member in any capacity.

One should also note that, according to the AWC, Lizabeth Gotuaco Ty neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of the sale of unregistered securities and are currently investigating Lizabeth Gotuaco Ty’s sale of unregistered securities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Lizabeth Gotuaco Ty’s sale of unregistered securities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Robert J. Kerrigan– Undisclosed Private Securities Transactions and Outside Business Activities

Robert J. Kerrigan Allegedly Participated in Undisclosed Private Securities Transactions and Outside Business Activities

Robert J. Kerrigan allegedly participated in undisclosed private securities transactions and outside business activities, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Kerrigan, since at least October 2, 2013, allegedly offered or sold an October 2012 offering (promissory notes issued by Barcelona Advisors and investment contracts in the form of membership interests in Barcelona Advisors within and from Arizona) within or from Arizona, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert J. Kerrigan’s alleged participation in undisclosed private securities transactions and outside business activities.

Robert J. Kerrigan Barred by FINRA for Allegedly Refusing to Provide Documents and Information as Requested in Connection with an Investigation into a FINRA Allegation

Robert J. Kerrigan received a request from FINRA staff requesting documents and information pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Kerrigan allegedly acknowledged the FINRA request, but purportedly refused to provide the requested documents, and hence, violated FINRA Rules, the AWC notes. Kerrigan, as a result, has been barred by FINRA the AWC further alleges.

One should also note that, according to the AWC, Robert J. Kerrigan neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged undisclosed private securities transactions and outside business activities and are currently investigating Robert J. Kerrigan’s undisclosed securities transactions and outside business activities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Robert J. Kerrigan’s undisclosed securities transactions and outside business activities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Providence Financial Investments Inc.—Securities Fraud, Unregistered Securities Offering

Providence Financial Investments Inc. Orchestrated an “Ongoing Fraudulent and Unregistered Securities
Offering,” the SEC Alleges

Providence Financial Investments Inc., allegedly ran an investment scheme which the SEC called an “ongoing fraudulent and unregistered securities offering”, according to according to a federal court filing in Minneapolis currently under review by attorneys Alan Rosca and James Booker.

Providence allegedly bought the bills of small businesses in Brazil, which gave them cash-in-hand upfront, then took over the task of collecting from their customers. It bundled these debts into securities with a 12- or 24-month maturity, which it then sold to investors who expected a fixed-rate return of generally 12 or 13 percent, the aforementioned filing reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Providence Financial Investments Inc. alleged unregistered securities offerings.

Many Providence Financial Investments Inc. Clients Allegedly Rolled Their Investments Over as Their Notes Matured Rather than Cashing out, Investing Principal and the Return in a New Promissory Note

Many of Providence’s clients have allegedly rolled their investments over as their notes mature rather than cashing out, investing their principal and the return in a new promissory note, according to a federal court filing in Minneapolis currently being examined by attorneys Alan Rosca and James Booker.

The SEC further alleges that Providence’s “current financial situation appears extremely tenuous” and that the firm currently retains less than $250,000, dispersed through 28 accounts, and it that it has met challenges collecting certain of its accounts receivable from Brazil, the aforementioned filing reports.

To make matters worse, the recent devaluation of the Brazil real by as much as 50 percent compared to the rate of the 2015 U.S. dollar means Providence is not able to repatriate its Brazilian assets to repay U.S. investors without suffering huge currency exchange losses, the filing notes.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of participation in unregistered securities offerings and are currently investigating Providence Financial Investments Inc.’s alleged participation in unregistered securities offerings. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Providence Financial Investments Inc.’s alleged participation in unregistered securities offerings are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Daniel S. Miller—Undisclosed Private Securities Transactions

Daniel S. Miller Allegedly Participated in Undisclosed Private Securities Transactions Involving Four Individuals that Invested Approximately $560,000 in a Collective Outside Investment

Daniel S. Miller, from April 2014 through July 2014, allegedly participated in undisclosed private securities transactions involving four individuals who collectively invested approximately $560,000 in an outside investment, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

On April 19, 2013 Miller became associated with Growth Capital Services, Inc. on April 30, 2013 and became registered with FINRA through Growth Capital as a General Securities Representative, and remained associated with Growth Capital through September 3, 2014, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Daniel S. Miller’s alleged undisclosed private securities transactions.

Daniel S. Miller Suspended and Fined $5,000 by FINRA for Allegedly Participating in an Undisclosed Private Securities Transaction Two Affiliated Companies Involved in Crowdfunding of Real Estate Projects

Daniel S. Miller, while associated with his broker-dealer Growth Capital, allegedly disclosed that he was engaged in outside business activities involving two affiliated companies involved in crowdfunding of real estate projects, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

The crowdfunded companies include Rise Companies Corp and Rise Securities LLC, the AWC notes.

One should also note that, according to the AWC, Daniel S. Miller neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged undisclosed private securities transactions and are currently investigating Daniel S. Miller’s undisclosed private securities transactions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Daniel S. Miller’s undisclosed private securities transactions may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Terry L. Haggerty—Manipulative Trading Activity

Terry L. Haggerty Allegedly Engaged in Manipulative trading activity in the shares of Pacific Sands, Inc.

Terry L. Haggerty allegedly engaged in manipulative trading activity in the shares of Pacific Sands, Inc., according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Terry L. Haggerty, who was also the sole owner, officer, director, and employee of Blue Sky Group, Inc. allegedly effected pre-arranged or matched trades in said penny stock, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Terry L. Haggerty’s alleged manipulative trading activity.

Terry L. Haggerty Barred for Allegedly Manipulating Shares of Pacific Sands through the Use of His Own Accounts and Those of His Member Firm Customers, Purportedly Including Discretionary Trading Clients

Terry L. Haggerty allegedly affected pre-arranged or matched trades in the shares of Pacific Sands through the use of his own accounts and those of his member firm customers, including his discretionary trading clients, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

As a result of the aforementioned behavior, Terry L. Haggerty has violated FINRA and NASD Rules and hence, has been barred from associating with any FINRA member in any capacity.

One should also note that, according to the AWC, Terry L. Haggerty neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged manipulative trading activity are currently investigating Terry L. Haggerty’s alleged manipulative trading activity. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Terry L. Haggerty’s alleged manipulative trading activity may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca and James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Antonio Fasolino—Olive Oil Investment Scam

Antonio Fasolino Allegedly Cold Pressed a Slippery $3.4 Million Olive Oil Investment Scam

Antonio Fasolino, of Jersey City, New Jersey, allegedly pressed investors out of more than $3 million in a dripping olive oil investment scheme, according to federal prosecutors.

Antonio Fasolino claimed that his company held $33 million worth of inventory rich in golden monounsaturated fatty acids, according to reports from New Jersey.

Two retailers who had hoped to help consumers follow their Mediterranean diet were allegedly lured by the aforementioned claims and loaned Fasolino about $3.4 million in 2012, federal prosecutors report.

Fasolino, Rather than Delivering Antioxidants, Allegedly Used the Investor Cash to Grease Payments for a Car, a Mortgage, a Wedding and College Tuition

Investigators allege that Fasolino dipped into investor money to pay for a car, mortgage payments, a wedding and college tuition, according to federal prosecutors.

Fasolino has been released on $250,000 unsecured bond and ordered not to break bread with or have any contact with victims or witnesses, according to reports from the Garden State.

Fasolino has previously been convicted three times on fraud charges, and the new charge carries a potential 20-year prison sentence, prosecutors report.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of investment schemes. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of investment schemes are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

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John N. Furkioti—Outside Business Activity

John N. Furkioti Allegedly Approved the Participation of a First American Securities, Inc. Rep in a Private Offering as an “Outside Business Activity” Rather than as a Private Securities Transaction

John N. Furkioti allegedly approved the participation of a First American Securities, Inc. rep, known only as TB, in a private offering as an “outside business activity” rather than as a private securities transaction, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

TB was allegedly presented with an exclusive opportunity to sell debt units of a private offering being conducted by an entity owned by a person, known only as CP, associated with the BD – First American Securities, the aforementioned AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating John N. Furkioti’s alleged approval of a private offering as an “outside business activity” rather than as a private securities transaction.

John N. Furkioti Suspended and Fined $10,000 by FINRA; TB, as a Part of the Offering, Allegedly Sold $1.645 Million in Short-term and Medium-term Notes to 20 First American Customers and Received $189,000 in Commissions

TB, as a part of the offering, allegedly sold $1.645 million in short-term and medium-term notes to 20 First American customers and received $189,000 in commissions, according to the aforementioned AWC currently under review by attorneys Alan Rosca and Joe Peiffer.

As a result of the aforementioned behavior, Furkioti allegedly violated NASD and FINRA Rules and deferred a fine of $10,000 and a one month suspension from associating with any FINRA registered firm in a principal capacity.

One should also note that, according to the AWC, John N. Furkioti neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged mislabeling of private securities transactions, and are currently investigating John N. Furkioti’s alleged approval of the participation of a private offering as an “outside business activity” rather than as a private securities transaction.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of John N. Furkioti’s alleged approval of the participation of a private offering as an “outside business activity” rather than as a private securities transaction may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Providence Financial Investments Inc.—Securities Fraud, Unregistered Securities Offering

Providence Financial Investments Inc. Allegedly Raised $64 Million from 420 Investors to Invest in Purportedly Unregistered Promissory Notes Used to Finance the Purchase of Accounts Receivable in Brazil

Providence Financial Investments Inc., based in Miami, allegedly raised $64 million from 420 U.S. investors to invest in unregistered promissory notes used to purportedly finance the purchase of accounts receivable in Brazil, according to a federal court filing in Minneapolis currently under review by attorneys Alan Rosca and James Booker.

The SEC has labeled the investment scheme as an “ongoing fraudulent and unregistered securities offering”, further claiming that said securities have not been registered with the SEC and brokers selling them are unregistered, according to the aforementioned filing reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Providence Financial Investments Inc. alleged unregistered securities offerings.

Providence and its Brokers Allegedly Failed to Disclose to Investors that Brokers Were Paid a 6% Commission for Selling Securities, that Providence Execs Received Nearly $9 Million in Compensation from the Firm’s U.S. Entities in Four Years

Providence and its brokers allegedly failed to disclose to investors that brokers were paid a 6 percent commission for selling said securities, and that executives from Providence purportedly received nearly $9 million in compensation from the firm’s U.S. entities over four years, according to a federal court filing in Minneapolis currently being examined by attorneys Alan Rosca and James Booker.

Furthermore, the SEC alleges that only two-thirds of investors’ money went toward Brazilian receivables and that in 2015 the firm owed investors $64 million, while in contrast their Brazilian affiliates held only $10.6 million in receivables assets.

Finally, the SEC reports that Providence execs have been “unable to answer basic questions about their organizational structure, their use of investor proceeds and their financial condition,” the SEC said.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of participation in unregistered securities offerings and are currently investigating Providence Financial Investments Inc.’s alleged participation in unregistered securities offerings. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Providence Financial Investments Inc.’s alleged participation in unregistered securities offerings are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca and James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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William Bucci—Investment Fraud

William Bucci Allegedly Made False Representations to Several Brokerage Clients that he was Initiating High End Italian Olive Oil and Wine Import Business; Clients and Investors Allegedly Sank $1,284,000 into the Purported Scheme

William Bucci, beginning as early as 2004, allegedly made false representations to several brokerage clients that he was opening a business an Italian olive oil and wine import business, according to recent Documents from the U.S. Attorney’s Office in the Eastern District of Pennsylvania currently under review by attorneys Alan Rosca and Joe Peiffer.

Bucci, as a result of the aforementioned representations, took in approximately $1,284,000 from clients and other, but, rather than investing the money, Bucci allegedly spent it on his own expenses, the aforementioned Documents report.

The Peiffer Rosca Wolf securities lawyers are currently investigating William Bucci’s alleged olive oil and wine import investment fraud.

William Bucci Allegedly Induced Others to Loan Him Money after Representing that He Would Put Cash toward a Down Payment on the Purchase of Real Estate on the Renowned Jersey Shore

William Bucci, between 2004 and 2012, allegedly induced individuals to loan him money based on representations that he would put the cash toward a down payment on real estate on the New Jersey shore and would repay it with significant interest, according to the aforementioned Documents from the U.S. Attorney’s Office in the Eastern District of Pennsylvania currently under review by attorneys Alan Rosca and Joe Peiffer.

Bucci, instead, said Documents report, allegedly victims’ money for his own purposes, including payments toward his large credit card debt and to pay earlier victims.

As a result of the aforementioned and alleged fraud schemes, Bucci purportedly obtained approximately $2.9 million between 2007 and 2011, but Bucci allegedly did not report any of the money he took from the scheme on his tax returns for those tax years, the aforementioned Documents report.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged investment fraud, and are currently investigating William Bucci’s alleged false representations to investors. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of William Bucci’s alleged false representations to investors may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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Andrew Todd Yocum– Effected Unauthorized Transactions, Exercised Discretion without Written Authorization

New Orleans stockbroker fraud attorney

Andrew Todd Yocum Allegedly Effected Unauthorized Transactions, Exercised Discretion without Written Authorization, and Purportedly Recommended Unsuitable Concentrated Purchases of Energy Sector Securities to Senior Investors

Andrew Todd Yocum allegedly executed unauthorized transactions, exercised discretion without written authorization, and purportedly recommended unsuitable concentrated purchases of energy sector securities to senior investors, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Andrew Todd Yocum allegedly has 15 customer disputes disclosed on his FINRA profile, the oldest of which is dated May 2015, and most of customers allege unsuitability and that the accounts were over-concentrated in oil & gas related securities, the AWC reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Andrew Todd Yocum’s alleged unauthorized transactions.

Andrew Todd Yocum Barred by FINRA for Alleged Failure to Appear for On-the-record Testimony Regarding an Investigation into Alleged Unauthorized Transactions

On March 30, 2016, FINRA Staff sent a request to Yocum for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and Joe Peiffer.

Yocum acknowledges that he received FINRA’s request and would not appear for on-the record testimony at any time, and hence, violated FINRA Rules and has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, Andrew Todd Yocum neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Andrew Todd Yocum’s alleged unauthorized transactions.  They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Andrew Todd Yocum’s alleged unauthorized may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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