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.
from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/28RhARj
via Securitieslitigatos.com
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