Peiffer Rosca Wolf Securities Attorneys Investigating Sales Practices of Professionals Who Sold FS Energy and Power Fund to Investors

The Peiffer Rosca Wolf securities practice attorneys are investigating sales practices by investment professionals of investments in FS Energy and Power Fund. Anyone who invested in FS Energy and Power Fund may call attorneys Alan Rosca and James Booker for a free, no-obligation evaluation of their recovery options at 888-998-0520.

Securities Attorneys Investigating

The Peiffer Rosca Wolf securities attorneys are reviewing how FS Energy and Power Fund was presented to investors and determine if the risks associated with non-traded, energy-related investments were adequately disclosed to investors. Another concern held by the Peiffer Rosca Wolf attorneys is that an investor’s portfolio may be over-concentrated in oil and gas investments and FS Energy and Power Fund may be a part of the investor’s portfolio.

No allegations of misconduct are being made as to FS Energy and Power Fund.

Call for a Free, No-Obligation Evaluation

The Peiffer Rosca Wolf securities attorneys often represent investors who lose money as a result of investment professional negligence, stockbroker misconduct, investment fraud, and Ponzi 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 their investment in FS Energy and Power Fund 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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Peiffer Rosca Wolf Securities Attorneys Investigating Sales Practices of Financial Professionals Who Sold APX Energy, LLC Investments

The Peiffer Rosca Wolf securities practice attorneys are investigating the sales practices of financial professionals who sold APX Energy, LLC (“APX Energy”) investments. Anyone who invested in APX Energy may call attorneys Alan Rosca and James Booker for a free, no-obligation evaluation of their recovery options at 888-998-0520.

Securities Attorneys Investigating

APX Energy serves as the managing general partner for a number of drilling partnerships that seek to drill for oil in the United States. The Peiffer Rosca Wolf securities attorneys are reviewing if the risks associated with APX Energy investments were adequately disclosed to investors. Alternate investment products such as interests in drilling partnerships, involve significant risk when compared to more traditional investments. Another concern held by the Peiffer Rosca Wolf attorneys is that an investor’s portfolio may be over-concentrated in oil and gas investments such as APX Energy.

Call for a Free, No-Obligation Evaluation

The Peiffer Rosca Wolf securities attorneys often represent investors who lose money as a result of investment professional negligence, stockbroker misconduct, investment fraud, and Ponzi 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 their investment in APX Energy 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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Christopher Tolmacs Investigation — Borrowing Money from Customers of his Brokerage Firm

Chris Tolmacs Allegedly Borrowed Money from Customers of His Brokerage Firm, Triad Advisors; Investor Right Lawyers Investigating

Christopher Tolmacs allegedly borrowed money from customers of his brokerage firm, Triad Advisors, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Cleveland investor right attorneys Alan Rosca and James Booker together with Detroit securities lawyer Peter Rageas.

Christopher Tolmacs was a financial advisor and registered representative of Triad Advisors from April 2008 to March 2016 and worked at a branch office in Portage, Michigan. Tolmacs also ran a couple of his own businesses, including Harbinger Financial Group and Harbinger Asset Management, the AWC notes.

The Peiffer Rosca Wolf securities lawyers have teamed up with Detroit securities fraud lawyer Peter Rageas to investigate Christopher Tolmacs’s alleged private securities transactions without proper approval, and are preparing to take action on behalf of victimized investors.

Christopher Tolmacs Barred by FINRA after Failing to Respond to a FINRA Investigation

In February 2016, FINRA began investigating Tolmacs and whether or not he had entered into lending arrangements with several of his customers through the issuance of promissory notes, according to the aforementioned AWC currently under review by attorneys Alan Rosca, James Booker, and Peter Rageas.

Christopher Tolmacs then allegedly failed to respond to FINRA’s request for documents and information and refused to appear for the continuation of his on-the-record-testimony after, in February 2016 after FINRA began investigating whether Tolmacs had entered into lending arrangements with several of his customers, the AWC notes.

Christopher Tolmacs, as a result, violated FINRA Rules, and hence, has been barred by FINRA. One should also note that, according to the AWC, Christopher Tolmacs neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers and securities fraud attorney Peter Rageas often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Christopher Tolmacs’ alleged private securities transactions without approval. 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 Christopher Tolmacs’ alleged private securities transactions without approval may contact the Cleveland 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, or Detroit attorney Peter Rageas at 313-334-7767.

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Darrin B. Farrow—Private Securities Transactions without Proper Approval

New Orleans stockbroker fraud attorney

Darrin B. Farrow Allegedly Participated in Private Securities Transactions, MAD Farmaceuticals and MAD Oregon LLC, without Disclosing Said Transactions to His Broker-Dealer, Royal Alliance

Darrin B. Farrow, of Rocky River, Ohio, allegedly participated in private securities transactions without disclosing said transactions to broker-dealer, Royal Alliance, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Cleveland attorneys Alan Rosca and James Booker.

Darrin B. Farrow, in 2012, founded MAD Farmaceuticals, an entity that provides consulting services to the cannabis industry and also cultivates, produces, and manufactures cannabis in states where such activities are legal, the aforementioned AWC notes.

Darrin B. Farrow, around February of 2015, also formed MAD Oregon LLC, an entity that grows cannabis and supplies it to dispensaries throughout Oregon, the AWC also reports. The Peiffer Rosca Wolf securities lawyers are currently investigating Darrin B. Farrow’s alleged private securities transactions without proper approval.

Darrin B. Farrow Allegedly Solicited Six Royal Alliance Customers to Invest in MAD Oregon; Farrow Suspended and Fined $25,000 by FINRA

Darrin B. Farrow allegedly solicited six Royal Alliance customers to invest in MAD Oregon, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Said six investors allegedly paid a total of $1,000,000 to purchase membership interests in MAD Oregon and Farrow allegedly did not disclose the sale of said membership interest to Royal Alliance, the AWC notes.

Darrin B. Farrow’s actions allegedly violated NASD and FINRA Rules, and hence was suspended for 12 months and fined $25,000 by FINRA, the AWC notes. One should also note that, according to the AWC, Darrin B. Farrow 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 Darrin B. Farrow’s alleged private securities transactions without approval. 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 Darrin B. Farrow’s alleged private securities transactions without approval may contact the Cleveland 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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Brandon D. Gioffre—Private Securities Transactions without Proper Prior Notice

Brandon D. Gioffre Allegedly Participated in Private Securities Transactions without Providing Prior Notice to his Firm, Constellation Wealth Advisors LLC

Brandon D. Gioffre allegedly participated in private securities transactions without providing prior notice to his firm, Constellation Wealth Advisors LLC (CWA), according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Brandon D. Gioffre was permitted by CWA to resign after allegations came known of Gioffre allegedly soliciting a private placement not offered by the firm or approved as a private securities transaction or outside business activity, the aforementioned AWC goes on to allege.

The Peiffer Rosca Wolf securities lawyers are currently investigating Brandon D. Gioffre’s alleged participation in private securities transactions without prior notice.

Brandon D. Gioffre Allegedly Received $100,000 in Commissions for the Sale of Approximately $2,000,000 of Securities to Two Purchasers who Purportedly Lost Their Investments; Gioffre Barred by FINRA

Brandon D. Gioffre allegedly received $100,000 in commissions for the sale of approximately $2, 000,000 of securities to two purchasers who purportedly lost their entire investments, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

By reason of the foregoing, Gioffre allegedly violated NASD and FINRA Rules and hence has been barred from associating with any FINRA member in any capacity, the AWC notes.

One should also note that, according to the AWC, Brandon D. Gioffre 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 Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm. 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 Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm 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 Neil Tricarico— Fraud & Stealing from Clients

Robert Neil Tricarico Allegedly Committed Acts of Fraud and Stole More than $1.2 Million from a Client

Robert Tricarico, 60 and a Milford financial advisor, allegedly committed acts of fraud and stole more than $1.2 million from a client, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) and Documents from the State of Connecticut Department of Banking currently under review by attorneys Alan Rosca and James Booker.

According to court documents and statements made in court, Tricarico allegedly acted as a financial advisor for an elderly and infirm client who held substantial assets, according to court documents and statements made in Connecticut.  Tricarico allegedly misappropriated more than $1.1 million from said victim by purportedly writing multiple checks to himself, according to the AWC and Court Documents.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert Tricarico’s alleged fraud and theft of client funds.

Robert Tricarico Barred by FINRA Following an Alleged failure to Respond to Requests to Provide Information and Documents Concerning the Course of an Investigation that Tricarico May Have Stolen Money from Clients

Robert Tricarico has been barred by FINRA following allegations that Tricarico failed to respond to regulator’s requests to provide information and documents concerning an investigation into claims that Tricarico may have stolen money from clients, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Tricarico was terminated by LPL Financial following allegations that the broker was the subject of a lawsuit by the executrix of a deceased client that alleged misappropriation of funds, the AWC reports. During the course of the investigation FINRA sought to investigate LPL’s statements and sent Tricarico requests for information, the AWC further alleges.

Despite multiple requests from FINRA for information and some additional correspondence with Tricarico and his counsel, Tricarico allegedly did not provide sufficient documents and information to cover FINRA’s requests, the AWC reports. Hence, Tricarico allegedly violated FINRA Rules, and as a response FINRA barred Tricarico, the AWC notes. One should also note that, according to the AWC, Robert Tricarico 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 acts of fraud and client theft and are currently investigating Robert Tricarico’s alleged acts of fraud and client theft. 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 Tricarico’s alleged acts of fraud and client theft assets 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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ARI and William Brian Candler—Failure to Conduct Reasonable Due Diligence, Ponzi Scheme

ARI and William Brian Candler Allegedly Failed to Conduct Reasonable Due Diligence Regarding a Private Placement that the Firm Sold Directly to Retail Investors

ARI and William Brian Candler allegedly failed to conduct reasonable due diligence regarding a private placement that the firm sold directly to retail investors, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

The aforementioned offering promoted by ARI and William Brian Candler was allegedly later discovered to be a Ponzi scheme and customers who purchased interests in it purportedly lost their collective investment principal of approximately $560,000, the aforementioned Complaint reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating ARI and William Brian Candler’s alleged failure to conduct reasonable due diligence.

ARI Allegedly Recommended and Sold Interests in a Real Estate-based Private Placement Bridgeport Oaks Fund LLC, Which Was an Alleged Ponzi Scheme; ARI Censured and Fined $7,500 and William Brian Candler Censured, Suspended and Fined $2,500 by FINRA

William Brian Candler allegedly provided medallion signature guarantees for multiple pre-signed securities assignment forms without first having the forms signed in his presence or otherwise verifying their authenticity, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

ARI allegedly recommended and sold interests in a real estate-based private placement called the Bridgeport Oaks Fund LLC, the Complaint alleges. Bridgeport Oaks purportedly turned out to be a Ponzi scheme, and was directly to at least seven ARI customers which lost up to $560,000, the Complaint notes.

As a result of the aforementioned behavior, ARI and William Brian Candler allegedly violated NASD and FINRA Rules, and hence, and ARI has been censured and fined $7,500 and William Brian Candler has been suspended and fined $2,500 by FINRA, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged Ponzi schemes and are currently investigating ARI and William Brian Candler alleged failure to conduct reasonable due diligence regarding a private placement.  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 ARI and William Brian Candler alleged failure to conduct reasonable due diligence regarding a private placement 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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Edward S. Manges—Providing False Information in Written Statements Submitted to FINRA

Edward S. Manges Allegedly Provided False Information in Written Statements Submitted to FINRA

Edward S. Manges allegedly provided false information in written statements submitted to FINRA, and his on-the-record interviews, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Edward S. Manges was under investigation for allegedly engaging in a questionable trading pattern wherein he executed 24 round-trip transactions that were executed at nearly simultaneous times, said AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Edward S. Manges’ alleged private securities transaction.

Edward S. Manges Allegedly Artificially Raised the Inter-dealer Price in Order to Sell Securities at Higher Prices; MangesBarred by FINRA

The aforementioned 24 round-trip transactions were allegedly done for the purpose of artificially raising the inter-dealer price in the relevant securities so that Manges could purportedly sell his positions in these securities at higher prices, according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

Manges, as a result of the aforementioned behavior, allegedly violated FINRA Rules and the Sections of the Securities Exchange Act, and thus has been suspended by FINRA, the AWC reports.

One should also note that, according to the AWC, Edward S. Manges 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 questionable trading activity and are currently investigating Edward S. Manges’ alleged questionable trading patterns. 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 Edward S. Manges’ alleged questionable trading patterns 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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Edward Joseph Bosch, Sr.—Conversion of Customer Funds and Production of False Accounts

Edward Joseph Bosch, Sr. Allegedly Converted Customer Funds and Generated False Account Statements in Order to Conceal his Purported Misconduct

Edward Joseph Bosch, Sr. allegedly converted customer funds and generated false account statements to conceal his misconduct, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Edward Joseph Bosch, Sr. was a financial advisor and registered representative of LPL Financial from December 2010 to March 2016, working at a branch office in Florence, Kentucky, the AWC notes. In his career, Bosch has also allegedly been the subject of at least two customer complaints, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Edward Joseph Bosch, Sr.’s alleged conversion of customer funds and generation of false account statements.

Edward Joseph Bosch, Sr. Barred for Allegedly Refusing to Provide Documents and Information during the Course of a FINRA Investigation

Edward Joseph Bosch, Sr. allegedly refused to provide documents and information during the course of an investigation into allegations that Bosch converted customer funds and generated false account statements to conceal his misconduct, according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

Edward Joseph Bosch, Sr., as a result of the aforementioned behavior, allegedly violated FINRA and NASD Rules, the AWC notes, and hence, has been barred from associating with any FINRA member in any capacity.

One should also note that, according to the AWC, Edward Joseph Bosch, Sr. 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 customer fund conversion and are currently investigating Edward Joseph Bosch, Sr.’s alleged conversion of customer funds. 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 Edward Joseph Bosch, Sr.’s alleged conversion of customer funds 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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Haena Park, Founder of Phaetra Capital GP— Ponzi Scheme

Haena Park, a Harvard Grad and Founder of Phaetra Capital GP, Allegedly Operated a $23 Million Ponzi Scheme after Purportedly Falsely Flaunting her Currency Trading Acumen

Haena Park allegedly operated a $23 million Ponzi scheme after falsely touting her currency trading prowess and using new money to make Ponzi-like payments to earlier investors, according to Court Documents from the U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission (CFTC) currently under review by attorneys Alan Rosca and James Booker.

Haena Park, a Harvard University graduate and a founder of Phaetra Capital GP and its predecessor Argenta Capital, allegedly solicited more than $23 million from investors between 2010 and 2016 by lauding her merits  as an “accomplished” trader who had generated high double-digit or even triple-digit annual returns, said Documents report.

The Peiffer Rosca Wolf securities lawyers are currently investigating Haena Park’s alleged Ponzi scheme.

Haena Park Allegedly Made Material Misrepresentations and Omissions Concerning Her Training Expertise, for Example, Allegedly falsely claiming that an initial$1 Million Investment in November of 2009 Gained a Return of 393.2% and Grew to $4,778,229 by February 27, 2015

Haena Park allegedly made material misrepresentations to clients such as falsely claimed that an initial investment of $1 million in November of 2009 grew to a return of 393.2% and $4,778,229 by February 27, 2015, according to the aforementioned Court Documents from the U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission (CFTC) currently under review by attorneys Alan Rosca and James Booker.

Haena Park, according to The CFTC Complaint, further alleges that Park fraudulently solicited approximately 50 members of the public who deposited over $23 million into bank accounts opened in Park’s name and/or controlled by Park.

Haena Park’s trading on behalf of the pool participants allegedly resulted in a loss of more than $18 million, and Park, according to the CFTC, allegedly hid these losses from the pool participants and allegedly fraudulently represented the funds health, even going so far as to provide pool participants with false monthly statements with fabricated data.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged Ponzi schemes and are currently investigating Haena Park’s alleged Ponzi 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 Haena Park’s alleged Ponzi 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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Jean Walsh-Josephson—Misappropriation of Funds

Jean Walsh-Josephson, 56 and of Oshkosh, Wisconsin, Allegedly Misappropriated $4 million from Elderly Clients over the Past 10 Years

Jean Walsh-Josephson, 56 and of Oshkosh, Wisconsin, allegedly misappropriated $4 million from elderly clients over the past 10 years, according to Documents from the Wisconsin Office of the Commissioner of Insurance currently under review by attorneys Alan Rosca and James Booker.

Jean Walsh-Josephson is now looking at more than 20 criminal charges of alleged forgery, theft and resisting an officer in Winnebago and Outagamie counties, and also had her insurance license revoked, according to said Documents.

The Peiffer Rosca Wolf securities lawyers are currently investigating Jean Walsh-Josephson’s alleged misappropriation of funds.

Jean Walsh-Josephson Ordered to Pay More than $1,500,000 in Civil Fines and Restitution Based on Accusations She Stole $4 million from Elderly Clients, Some of Whom Came to Her Office with Buckets of Cash

Jean Walsh-Josephson has been ordered by the Wisconsin Office of the Commissioner of Insurance to pay more than $1,500,000 in civil fines and restitution based on accusations she allegedly stole $4 million from elderly clients,  according to the aforementioned Documents from the Wisconsin Office of the Commissioner of Insurance currently under review by attorneys Alan Rosca and James Booker.

Jean Walsh-Josephson, in one case, received a 70-year old widower in September 2010 who literally entered Walsh-Josephson’s business with buckets of cash, according to reports from Wisconsin. Together, said reports further allege, counted out $302,399, with which the elderly gentleman had hoped to buy an annuity, live off the interest, and donate the principal to charity.

Jean Walsh-Josephson, rather than investing the money, allegedly gave him a false receipt, kept the money and sent him checks from a bank with the word “Thrivent” in its name for 49 monthly payments of $974.76 for 49 months, according to reports from the Badger State.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of misappropriation of funds and are currently investigating Jean Walsh-Josephson’s alleged theft of client funds. 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 Jean Walsh-Josephson’s alleged theft of client funds 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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Oppenheimer & Co. Inc.– Failure to Establish, Maintain and Enforce a Reasonably-designed Supervisory System

Oppenheimer & Co. Inc. Allegedly Failed to Establish, Maintain and Enforce a Reasonably-designed Supervisory System

Oppenheimer & Co. Inc. failed to establish, maintain and enforce a reasonably-designed supervisory system, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Oppenheimer,  from August 4, 2009 to September 30, 2013, allegedly failed to establish, maintain and enforce a reasonably-designed supervisory system and written supervisory procedures regarding the sales of leveraged, inverse, and inverse-leveraged Exchange-Traded Funds , said AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Oppenheimer & Co. Inc.’s alleged failure to establish, maintain and enforce a reasonably-designed supervisory system.

Oppenheimer Censured, Fined $2.25 Million and Ordered to Pay Restitution in the Amount of $716,000 for Failure to Establish, Maintain and Enforce a Reasonably-designed Supervisory System and WSPs Regarding the Sales of Leveraged, Inverse, and Inverse-leveraged Exchange-Traded Funds

Oppenheimer & Co. Inc. allegedly failed to establish proper WSPs (written supervisory procedures) regarding the sales of leveraged, inverse, and inverse-leveraged Exchange-Traded Funds, according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

Oppenheimer allegedly executed 30,740 Non-Traditional ETF in retail brokerage accounts, transactions which totaled approximately $1.7 billion, the AWC Notes.

Oppenheimer, based on the aforementioned behavior, violated NASD and FINRA Rules and hence, has been censured, fined $2.25 million, and ordered to pay restitution in the amount of $716,000, the AWC also reports. One should also note that, according to the AWC, Oppenheimer 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 failure to establish, maintain and enforce a reasonably-designed supervisory system and are currently investigating Oppenheimer’s alleged failure to establish, maintain and enforce a reasonably-designed supervisory system. 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 Oppenheimer’s alleged failure to establish, maintain and enforce a reasonably-designed supervisory system 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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Roshan A. Loungani—Recommending Unsuitable Investments

Roshan A. Loungani Allegedly Recommended and Effected Purportedly Unsuitable Investments for Two Customers Involving the Purchase of Limited Partnership Interests in Two Hedge Funds that Loungani Created and Managed

Roshan A. Loungani allegedly recommended and effected unsuitable investments for two customers involving the purchase of limited partnership interests in two hedge funds that Loungani created and managed, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Roshan A. Loungani, between June 2009 and March 2012, allegedly recommended and effected unsuitable investments for two customers totaling approximately $658,000 involving the purchase of limited partnership interests in the two aforementioned hedge funds, Loungani Capital Group, LP (LCG, LP) and Loungani Capital Group II, LP (LCG II, LP), the AWC further alleges.

The Peiffer Rosca Wolf securities lawyers are currently investigating Roshan A. Loungani’s alleged unsuitable recommendations.

Roshan A. Loungani Reportedly Suspended and Ordered Restitution by FINRA in the Amount of Nearly $70,000 for Unsuitable Recommendations in Loungani Capital Group, LP (LCG, LP) and Loungani Capital Group II, LP (LCG II, LP)

Roshan A. Loungani, based on the aforementioned behavior, allegedly violated NASD and FINRA Rules and hence, has been suspended by FINRA and ordered restitution in the amount of almost $70k, according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

The two hedge funds that Loungani created and managed,  Loungani Capital Group, LP (LCG, LP) and Loungani Capital Group II, LP (LCG II, LP), purportedly employed a high-risk trading strategy and use of aggressive options trading and were not suitable for the customers based on their investment objectives and risk tolerances, the AWC further alleges.

One should also note that, according to the AWC, Roshan A. Loungani 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 allegedly unsuitable investment recommendations and are currently investigating Roshan A. Loungani’s allegedly unsuitable investment recommendations.  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 Roshan A. Loungani’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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Arthur Espinoza— Unapproved Outside Business Activity

Arthur Espinoza Allegedly Engaged in an Unapproved  Outside Business Activity Called Life Solutions, Inc.

Arthur Espinoza allegedly engaged in an outside business activity called Life Solutions, Inc., according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Arthur Espinoza allegedly incorporated Life Solutions, Inc. in or about March 2009 and purportedly operated said entity alone for the purpose of buying and selling precious metals and coins as well as trading in securities all the obtaining at least 10 investors, all seniors, who collectively invested more than $325k with Life Solutions, said AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Arthur Espinoza’s alleged engagement in an outside business activity called Life Solutions, Inc.

Arthur Espinoza Barred for Alleged Outside Business Activities, Failure to Disclose Outside Brokerage Accounts He Controlled at Two Third-party Firms and For Failure to Respond to Requests for Documents and Information Requested by FINRA

Arthur Espinoza has been barred by FINRA for allegedly violating FINRA Rules by engaging in an outside business activity called Life Solutions, Inc., failure to disclose outside brokerage accounts he controlled at two third-party FINRA member firms, known only as FBS and IB, and for failure to respond to requests for documents and information requested by FINRA, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Espinoza, in return for said undocumented investments, orally agreed to pay the aforementioned investors an annual or semi-annual payment equaling 5.25% of their invested principal, the AWC notes.

At the moment Espinoza is currently unable to pay the investors’ principal back and has no credible plans for doing so (company’s current assets consist of only a few hundred dollars in coins and currency, along with undocumented “loans” with no fixed terms that Espinoza purportedly took from the company), the AWC reports. One should also note that, according to the AWC, Arthur Espinoza 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 outside business activity and are currently investigating Arthur Espinoza’s alleged outside business 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 Arthur Espinoza’s alleged outside business activity 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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ACAP Financial Inc.— Facilitation and Liquidation of Unregistered Microcap Stocks

ACAP Financial Inc.. Allegedly Facilitated the Liquidation of over 3.3 Billion Shares of Four Unregistered Microcap Stocks that Two Customers Deposited into Firm Accounts

ACAP Financial Inc., between January 2011 and December 2013, allegedly facilitated the liquidation of over 3.3 billion shares of four unregistered microcap stocks that two customers deposited into their accounts at the firm, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and Joe Peiffer.

ACAP Financial Inc. (ACAP), allegedly facilitated the liquidation of said shares while acting through Kirk Lynn Ferguson in his capacity as ACAP’s President and Chief Compliance Officer (CCO), and Gary Hume, the Anti-Money Laundering Compliance Officer, the Complaint also notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating ACAP Financial Inc.’s alleged facilitation and liquidation of unregistered microcap stocks.

The Accounts at Issue Involving ACAP Were Opened for Two Corporations by an Individual named VB, the Only Contact on Both Accounts, Yet ACAP Allegedly Permitted Her Husband, JMB, to Execute Control over Both Accounts; ACAP failed, in the Face of Red Flags, to Conduct an Investigation into JMB

The accounts at issue involving ACAP were opened for two corporations by an individual named VB, the only contact named on both accounts, yet ACAP allegedly permitted her husband, JMB, to execute control over both accounts, according to the aforementioned Complaint being examined by attorneys Joe Peiffer and Alan Rosca.

ACAP allegedly failed, in the face of red flags, to conduct an investigation into JMB, failing to discover JMB’s significant securities-related disciplinary history, which included purportedly being barred by the NASD and being barred by the SEC from participating in penny stock offerings, the Complaint reports.

The corporations named in the Complaint include the following:

-Mindpix Corporation (MPIX)

-eMax Media Inc.

-Unified Corp.

-eMax Worldwide, Inc.

-TDEY (the symbol for 3D Entertainment Holdings Inc.)

-PRPM (the symbol for ProTek Capital, Inc.)

-CGRA (the symbol for CGrowth Capital Inc.)

-Tranzbyte Corporation.

-Wellness USA

-Mainstreet Entertainment, Inc.

-Amarantus Bioscience Inc

-Water Technologies Inc

-Tactical Air Defense Services, Inc

-TurkPower Corporation

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of brokers allegedly facilitating the liquidation of shares of unregistered microcap stocks, and are currently investigating ACAP Financial Inc.’s alleged liquidation of 3.3 billion shares of unregistered microcap stocks. 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 ACAP Financial Inc.’s alleged liquidation of 3.3 billion shares of unregistered microcap stocks 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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Richard Gomez— Unsuitable Recommendations

Richard Gomez Allegedly Made Unsuitable Recommendations and Sold Investments Away from Legend Securities, Inc., Including Shares of Praetorian Global Fund, Ltd.

Richard Gomez allegedly made unsuitable recommendations and sold investments away from his firm, Legend Securities, Inc., including shares of Praetorian Global Fund, Ltd., according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Richard Gomez allegedly sold nearly half a million dollars of two worthless securities away from his firm., selling these securities to seven customers by misrepresenting and omitting material facts about both investments, the aforementioned Complaint notes.

The first security involved the Praetorian Global Fund, Ltd., an allegedly fraudulent private investment fund headed by John Mattera, and which Gomez allegedly recommended and sold $394,000 of its bogus securities to investors, the Complaint notes.  The Peiffer Rosca Wolf securities lawyers are currently investigating Richard Gomez’s alleged unsuitable recommendations.

Richard Gomez Barred by FINRA after Making Allegedly Unsuitable Recommendations, Including US Coal Corporation, a Small, Private Company in Appalachia that Purportedly Held Plans to Go Public in the “Near Future”

Richard Gomez allegedly made unsuitable recommendations of US Coal Corporation which was a small, private company in Appalachia that purportedly had plans to go public in the “near future”, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Gomez allegedly recommended US Coal’s stock to his customers, purportedly convincing them to invest a total of $105,000, while assuring them that the IPO would happen in the “near future”, the aforementioned Complaint reports.

Rather than filing for an IPO, the Complaint alleges, the company filed for bankruptcy in 2014. Gomez, based on the violative conduct described in the Complaint, allegedly violated FINRA Rules and has been barred from associating in any way with any FINRA-registered firm.

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 Richard Gomez’s alleged unsuitable recommendations.  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 Richard Gomez’s alleged unsuitable recommendations 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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Chris Faulkner – Oil and Gas Fraud

Chris “Frack Master” Faulkner Allegedly Cheated Oil and Gas Investors Out of $80 Million in Order to Finance a “Debauched” Jet-setting Lifestyle

Chris “Frack Master” Faulkner, of Dallas, Texas and CEO of Breitling Energy Corporation, allegedly fleeced investors out of $80 million, according SEC Documents currently under review by attorneys Alan Rosca and James Booker.

The SEC is reportedly suing Breitling Energy Corporation of Dallas, Texas, and its CEO, “Frack Master” Chris Faulkner, for fraudulently spending $80 million dollars of investors’ money on fancy dining, luxury cars, strippers, sex workers, amd even going so far as to refer to his American Express card as his “whore card”, according to SEC documents.

The Peiffer Rosca Wolf securities lawyers are currently investigating Chris Faulkner’s alleged $80 million oil and gas fraud.

Chris Faulkner’s Dallas-based Breitling Energy Allegedly Compiled a Remarkable Failure of Corporate Governance, Purportedly Inflating Estimates of Oil and Gas Companies under Breitling Control

Chris Faulkner’s Dallas-based Breitling Energy is being sued by the SEC in a lawsuit that alleges a spectacular failure of corporate governance at Breitling Energy Corp and other companies he pitched in to establish, according to the aforementioned SEC documents currently under review by attorneys Alan Rosca and James Booker.

Chris Faulkner allegedly used inflated estimates of the oil and gas that his companies controlled in order to ensnare hundreds of U.S. investors to back his firms, the SEC further alleges.

Faulkner, 39, who faced a number of lawsuits in the early 2000s in connection with his previous web hosting business, turned his attention to energy drilling during the U.S. shale boom in the last decade, the SEC notes. Faulkner, however, the SEC alleges, did little drilling, but rather engaged in lots of credit cards swiping, the SEC said.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged oil and gas fraud, and are currently investigating Chris Faulkner’s alleged oil and gas fraud. 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 Chris Faulkner’s alleged oil and gas fraud 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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Nathan D. Bartow– Negligently Managing and Converting Customer Assets

Nathan D. Bartow Allegedly Negligently Managed and Converted Investment Assets of a Customer while Working at Fifth Third Securities, Inc.

Nathan D. Bartow allegedly negligently managed and converted the investment assets of a customer known only as HM, the dispute of which is still pending, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Nathan D. Bartow was a financial advisor and registered rep with Fifth Third Securities, Inc from March 2013 through April 2016, working at branch offices in Barberton and Canton, Ohio, the AWC reports. Bartow is also the subject of at least six customer complaints, the AWC also notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Nathan D. Bartow’s alleged conversion of customer assets.

Nathan D. Bartow Barred by FINRA after Allegedly Failing to Respond to a FINRA Investigation

On May 25, 2016, FINRA Staff sent a request to Bartow for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Bartow 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 thus has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, Nathan D. Bartow 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 Nathan D. Bartow’s alleged conversion of customer assets. 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 Nathan D. Bartow’s alleged conversion of customer assets 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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Frank John Capuano— Undisclosed and Unapproved Private Securities Transactions

New Orleans stockbroker fraud attorney

Frank John Capuano Allegedly Engaged in Undisclosed and Unapproved Private Securities Transactions Totaling More than $ 1.1 Million, in Woodbridge Notes to Nine of His Customers, All of Whom Were Close Friends and Family

Frank John Capuano allegedly engaged in undisclosed and unapproved private securities transactions totaling more than $ 1.1 million, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Frank John Capuano, between December 2014 and March 2015, allegedly offered and sold approximately $1.1 million in Woodbridge notes to nine of his customers, all of whom were his close friends and family, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Frank John Capuano’s alleged undisclosed and unapproved private securities transactions.

Frank John Capuano Purchased $55,000 of Woodbridge Notes for Himself and His wife in February 2015; Suspended and Fined $10,000

Frank John Capuano purchased $55,000 of Woodbridge notes for himself and his wife in February 2015, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Furthermore, Capuano also allegedly received over $34,000 in commissions in connection with the aforementioned transactions, the AWC notes.

Capuano, based on the aforementioned behavior, violated FINRA and NASD Rules, and hence has been suspended from association with any FINRA member firm, in all capacities, for a period of 12 months and received a $10,000 fine.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged undisclosed and unapproved private securities transactions and are currently investigating Frank John Capuano’s undisclosed and unapproved 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 Frank John Capuano’s undisclosed and unapproved 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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Chris Faulkner – Oil and Gas Fraud

Chris “Frack Master” Faulkner, Former TV Financial Celebrity, Allegedly Orchestrated an $80 Million Oil and Gas Fraud

Chris “Frack Master” Faulkner allegedly orchestrated an $80 million oil and gas fraud, according SEC Documents currently under review by attorneys Alan Rosca and James Booker.

Chris Faulkner, the CEO of Breitling Energy Corporation (BECC) and recurring guest on CNBC, CNN International, Fox Business News, and the BBC, allegedly disseminated false and misleading offering materials, misappropriated millions of dollars of investor funds and attempted to manipulate BECC’s stock, the SEC also reports.

The Peiffer Rosca Wolf securities lawyers are currently investigating Chris Faulkner’s alleged $80 million oil and gas fraud.

Chris Faulkner and the Other Co-defendants Allegedly Misled Investors about the Purported Relationships between Parties, Faulkner’s Industry Experience, Plans for Investor Money, and Expected Returns

Chris Faulkner and other co-defendants, dating back to 2011, allegedly misled investors about the relationships between the parties, future plans for investor money, Faulkner’s industry experience, and expected returns, according to the aforementioned SEC documents currently under review by attorneys Alan Rosca and James Booker.

What is more, the SEC has also accused Faulkner of using at least $30 million for personal use including lavish meals and entertainment, international travel, cars, jewelry, gentlemen’s clubs, and personal escorts, the SEC further alleges.

Finally, the SEC also alleges that Beth Handkins, a former employee of Crude and Patriot, Rick Hoover, the former CFO of BECC, and Jeremy Wagers, BECC’s general counsel and COO, all took part and played essential roles in helping Faulkner in the alleged fraud, according to SEC Documents.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged oil and gas fraud, and are currently investigating Chris Faulkner’s alleged oil and gas fraud. 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 Chris Faulkner’s alleged oil and gas fraud 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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