Davis Escarcega – Material Misrepresentations

Davis Escarcega Allegedly Made Misleading Representations in the Neighborhood of $4.1 Million

Davis Joseph Escarcega allegedly made material misrepresentations to investors totaling approximately $4.1 million, according to a FINRA Complaint from the Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Escarcega, of Phoenix, Arizona, allegedly misled investors in the selling of corporate debt securities, the aforementioned Complaint notes.

The Peiffer Rosca Wolf securities lawyers are investigating Davis Joseph Escarcega’s alleged material misrepresentations.

Davis Joseph Escarcega Allegedly Made Fraudulent Misrepresentations to Seven Customers Related to Investments in GWG Debentures; Escarcega Barred from Associating with Any Firm in Any Capacity and Disgorged $52,270

Davis Joseph Escarcega allegedly made fraudulent misrepresentations to seven customers in connection with their investments in GWG Debentures and therefore violated NASD and FINRA Rules, according to the aforementioned FINRA Complaint from the Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Based on the aforementioned violations, David Joseph Escarcega is barred from associating with any member firm in any capacity and ordered to disgorge as a fine the amount of$52,270, the Complaint reports.

GWG allegedly had a limited operating history and had never made a profit, and on 2009 and 2010, it had combined losses exceeding $5 million, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged misleading material representations and are currently investigating Davis Joseph Escarcega’s alleged material misrepresentations. 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 Davis Joseph Escarcega’s alleged material misrepresentations 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Aaron Olson—Ponzi Scheme

New Orleans stockbroker fraud attorney

Aaron Olsen, of New Hampshire, Allegedly Ran a $27.8 Million Ponzi Scheme from 2007 to 2012

Aaron Olsen, of New Hampshire, allegedly operated a $27.8 million Ponzi scheme from 2007 to 2012, according to Court reports from New Hampshire currently under review by attorneys Alan Rosca and James Booker.

Aaron Olsen, 42, allegedly operated two investment practices from Jaffrey in order to get approximately $27.8 million from investors, said Reports note.

The Peiffer Rosca Wolf securities lawyers are investigating Aaron Olsen’s alleged Ponzi scheme.

Aaron Olsen Ordered to Pay $22.8 Million to Investors and Sentenced to 5 Years in Prison

Aaron Olsen has reportedly been ordered to pay over $22.8 to alleged victims of his Ponzi scheme, according to the aforementioned New Hampshire Court Reports presently under review by attorneys Alan Rosca and James Booker.

Olson allegedly took $2.6 million for his own personal use in order to purportedly make so-called “earnings” payments to other investors, said Reports note.

Olson allegedly was not a licensed investment broker, and a purported 81 victims allegedly lost cash when the alleged scheme fell apart in 2012, according to Court Reports from New Hampshire.

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 Aaron Olsen’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 Aaron Olsen’s alleged Ponzi scheme 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Stephen Eubanks—Ponzi Scheme

Stephen Eubanks Allegedly Ran a $529,000 Massachusetts Ponzi Scheme Involving Friends, Family and Neighbors

Stephen S. Eubanks allegedly operated a $529,000 Ponzi scheme in Massachusetts involving his family and supposed friends and neighbors, according to a Complaint from the office of Massachusetts Secretary of the Commonwealth currently under review by attorneys Alan Rosca and James Booker.

Stephen S. Eubanks allegedly made appearances that he was a profitable hedge fund manager of Eubiquity Capital, but a Chicago Stock Exchange investigation alleges that Eubanks purportedly failed to report Eubiquity Capital.

The Peiffer Rosca Wolf securities lawyers are investigating Steve Eubanks’ alleged Ponzi scheme.

Stephen S. Eubanks Allegedly Requested that Clients Invest in Stocks, Options and Other Securities; Eubanks Allegedly Used $145,000 for Personal Expenses and $140,000 to Repay Earlier Investors, a Ponzi Scheme Red Flag

Stephen Eubanks, while posing as a successful hedge fund manager, allegedly urged investors to sink their money into stocks, options, and other assorted securities, according to the aforementioned Complaint currently being reviewed by attorneys Alan Rosca and James Booker.

Eubanks allegedly used $145,000 to support his luxurious lifestyle and put another $140,000 toward repaying previous investors.

Repaying old investors with the cash from new investors is a telltale red flag for a Ponzi scheme. Eubanks also allegedly lost all of the investors’ funds, the Complaint also notes.

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 Steve Eubanks’ 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 Stephen S. Eubanks’ alleged Ponzi scheme 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Dawn Bennett—Investment Fraud Allegations

Bennett Allegedly Sold Approximately $6 Million Worth of Promissory and Convertible Notes of DJB Holding, Which Owns DJBennett.com, to About 30 Investors

Dawn Bennett allegedly sold about $6 million of promissory and convertible notes of DJB Holding, which owns here clothing store, DJBennett.com, according to a FINRA Complaint currently under review by attorneys Alan Rosca and James Booker.

Many of the aforementioned customers were elderly and also had allegedly done business with Western International Securities where Bennett had also worked, the Complaint notes.

The Peiffer Rosca Wolf securities lawyers are investigating Dawn Bennett’s alleged failure to investigate possible fraud.

Dawn Bennett Allegedly Did Not Testify in an Investigation of Potential Fraud Related to Her Clothing Company, DJBennett.com

Dawn Bennett allegedly failed to appear for testimony on four separate occasions between April and September following a FINRA investigation regarding alleged acts of fraud while she worked at Western International Securities, according to reports from the aforementioned FINRA Complaint currently under review by attorneys Alan Rosca and James Booker.

Dawn Bennett also allegedly misappropriated investors’ money and committed fraud, according to the Complaint.

Bennett also allegedly participated in undisclosed outside business activities and private securities transactions and purportedly resigned from Western last November, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged financial fraud and are currently investigating Dawn Bennett’s alleged refusal to investigate 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 Dawn Bennett’s alleged refusal to investigate 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

 

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Dominic Thomas DeBruin—Potential Private Securities Transactions

Dominic Thomas DeBruin Allegedly Deposited Client Funds Purportedly Related to Potential Private Securities Transactions Undisclosed to LPL Financial LLC

Dominic Thomas DeBruin allegedly deposited client funds which were purportedly related to potential private securities transactions undisclosed to LPL Financial LLC into a bank account DeBruin purportedly controlled, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Soon afterward FINRA started an investigation into the alleged misconduct described on a Form U5 filed by LPL Financial, the AWC reports.

The Peiffer Rosca Wolf securities lawyers are investigating Dominic Thomas DeBruin’s alleged private securities transactions.

Dominic Thomas DeBruin Barred for Allegedly Refusing to Provide Information and On-the-record Testimony to FINRA

Dominic Thomas DeBruin has been barred by FINRA for allegedly refusing to provide information and documents, according to the aforementioned AWC presently under review by attorneys Alan Rosca and James Booker.

Furthermore, Dominic Thomas DeBruin allegedly failed to appear for on-the-record testimony related to the aforementioned investigation into whether he purportedly deposited client funds into a bank account DeBruin controlled, the AWC notes.

One should also note that, according to the AWC, Dominic Thomas DeBruin 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 financial fraud and are currently investigating Dominic Thomas DeBruin’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 Dominic Thomas DeBruin’s alleged 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Christopher Dillon — Conspiracy to Commit Wire Fraud

Christopher Dillon Allegedly Conspired to Get Cash and Property from Investors; 27 Victims Invested over $5,000,000 in i2i Capital LLC and i2i Settlement Partners LLC and i2i Settlement Partners LLC

Christopher Dillon worked with Gilbert Lynagh to form i2i Capital LLC and allegedly eventually caused 27 investors to lose over $5,000,000, according to Reports from the State of New York currently being reviewed by attorneys Alan Rosca and James Booker.

Christopher Dillon allegedly made wire transfers from bank accounts controlled by the aforementioned investors and into the accounts of Dillon and Lynagh, said Reports claim.

Many investors allegedly lost retirement funds. The Peiffer Rosca Wolf securities lawyers are investigating Christopher Dillon’s alleged acts of wire fraud.

Christopher Dillon Allegedly Engaged in Conspiracy to Commit Wire Fraud; Pled Guilty and Now Faces 20 Years and a $250,000 Fine

Christopher Dillon, 52, of Lancaster, NY, pled guilty on November 10 to alleged conspiracy to commit wire fraud, according to Documents from the State of New York currently under review by attorneys Alan Rosca and James Booker.

Dillon, from May 2010 through November 2013, allegedly conspired with other people to get cash and property from investors in a fraudulent manner, said Documents report.  Dillon pled guilty to the alleged charges and faces 20 years in jail, said Documents note.

Finally, Dillon allegedly used most of the funds for personal use and most investors allegedly did not get the promised return on investment, the Documents report.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged wire fraud and are currently investigating Christopher Dillon’s alleged acts of wire 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 Christopher Dillon’s alleged 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Tracy Rae Turner– Private Securities Transactions

Tracy Rae Turner Allegedly Engaged in Private Securities Transactions after Purportedly Offering and Making Sales in Saltwater Disposal Well Facilities Totaling Approximately $4.1 Million

Tracy Rae Turner, from September 2013 through April 2014, allegedly took part in private securities transactions after offering and making sales of three saltwater disposal well facilities (SWD Interests), according to a recent FINRA Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Tracy Rae Turner’s alleged private securities transactions also allegedly involved twelve investors and approximately $4.1 million, the Complaint also notes.

The Peiffer Rosca Wolf securities lawyers are investigating Tracy Rae Turner’s alleged private securities transactions. It is important to note that no allegation of misconduct is being made as to the securities’ issuers.

Turner Allegedly Received $270,000 in Compensation for Successfully Soliciting Approximately $4.1 Million in SWD Interests

The aforementioned SWD Interests were initially held by an entity named TSWR Development, LLC, with the purported intention that the interests would be sold to investors to fund the development and operation of the SWD’s, according to the aforementioned FINRA Complaint presently under review by attorneys Alan Rosca and James Booker.

As SWD Interests were sold to investors, TSWR Fund Management, LLC, an entity affiliated with TSWR Development, LLC, entered into agreements with investors to manage the investment, the Complaint notes.

Finally, the SWD Interests were organized as passive investments, they were allegedly advertised as an investment with a high rate of return, and Turner allegedly received approximately $270,000 in compensation, the Complaint reports.

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 Tracy Rae Turner’s alleged participation in 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 Tracy Rae Turner’s alleged participation in 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Dawn Bennett—Failure to Investigate Possible Fraud

New Orleans stockbroker fraud attorney

Dawn Bennett Allegedly Failed to Testify in an Investigation of Possible Fraud Related to Her Clothing Company, DJBennett.com

Dawn Bennett allegedly failed to provide testimony in an investigation of possible fraud related to her clothing company, DJBennett.com, according to a FINRA Complaint currently under review by attorneys Alan Rosca and James Booker.

Bennett allegedly failed to appear for said testimony on four separate occasions between April and September following a FINRA investigation regarding alleged acts of fraud while she worked at Western International Securities, the Complaint reports.

The Peiffer Rosca Wolf securities lawyers are investigating Dawn Bennett’s alleged failure to investigate possible fraud.

Dawn Bennett Allegedly Sold Approximately $6 Million Worth of Promissory and Convertible Notes to Approximately 30 Investors, Many whom Were Western Customers and Elderly

Dawn Bennett allegedly sold about $6 million of promissory and convertible notes to about 30 investors, many of whom were elderly and included Western’s customers, according to the aforementioned Complaint presently under review by attorney Alan Rosca and James Booker.

It is also possible that Bennett allegedly misappropriated investors’ money and committed fraud, the Complaint further notes.

Finally, Bennett allegedly took part in undisclosed outside business activities and private securities transactions and reports indicate that Western allowed Ms. Bennett to resign last November, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged financial fraud and are currently investigating Dawn Bennett’s alleged refusal to investigate 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 Dawn Bennett’s alleged refusal to investigate 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Michael Babyak, Jr. II—Private Securities Transactions

Michael Babyak, Jr. II Allegedly Participated in Private Securities Transactions with Four LPL Customers without Prior Approval from LPL; One Transaction Allegedly Involved a $4.25 Million Debt Restructuring Loan

Michael Babyak, Jr. II allegedly took part in private securities transactions involving four LPL customers, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Michael Babyak, Jr. II, formed an LLC and allegedly had the four aforementioned customers invest a total of$4,250,000 into said LLC before purportedly having the LLC loan the $4.25 million to a third party for the alleged benefit of his customers, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are investigating Michael Babyak, Jr. II’s alleged private securities transactions.

One of Michael Babyak, Jr. II’s Customers Allegedly Received a Total of $1,045,862.40 and Another Received $984,804.22; Michael Babyak, Jr. II Barred by FINRA

Two of Michael Babyak, Jr. II’s aforementioned customers allegedly received $1,045,862.40, and a total of $984,804.22, respectively, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) presently under review by attorneys Alan Rosca and James Booker.

Babyak again allegedly did not give notice LPL that he was participating in these additional transactions, and hence, violated NASD and FINRA Rules, and therefore has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, Michael Babyak, Jr. II 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 Michael Babyak, Jr. II’s alleged participation in 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 Michael Babyak, Jr. II’s alleged participation in 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Joseph A. Likens—Private Securities Transactions

Joseph A. Likens Allegedly Engaged in Private Securities Transactions without Permission from LPL Financial

Have you invested your hard-earned cash with Joseph A. Likens, formerly of LPL Financial?

Likens allegedly engaged in the sales of private securities transactions without permission from LPL Financial, according to according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Likens, who worked at the Des Peres, Missouri branch of LPL Financial, previously worked with Merrill Lynch and also filed for bankruptcy in 2013, according to his FINRA BrokerCheck report.

The Peiffer Rosca Wolf securities lawyers are investigating Joseph A. Likens’ alleged private transactions without permission.

Joseph A. Likens Allegedly Failed to Respond to a FINRA Investigation; Likens Barred by FINRA

Joseph A. Likens allegedly received messages from FINRA Staff on September 20th and September 25th requesting that Likens appear for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Likens allegedly acknowledges that he received FINRA’s request and purportedly stated that he  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, Joseph A. Likens 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 Joseph A. Likens’ 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 Joseph A. Likens’ alleged securities transactions without approval may contact the securities lawyers at the Cleveland office of Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via email at arosca@prwlegal.com (for Alan Rosca) or jbooker@prwlegal.com (for James Booker).

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Donna S. Brown—Investment Fraud

Donna S. Brown, Owner of Budget Finance Co., a Wetzel County, West Virginia Lending Company, Allegedly Ran a $25 Million Ponzi Scheme

Donna S. Brown, the owner of Budget Finance Co., a Wetzel County, WV Lending Company, allegedly ran a $25 million Ponzi scheme, according to reports from West Virginia currently under review by attorneys Alan Rosca and James Booker.

Donna S. Brown allegedly drew in West Virginia and Ohio consumers to invest funds into Budget Finance, purportedly promising between 8 and 12 percent, according to reports from West Virginia report.

The Peiffer Rosca Wolf securities lawyers are currently investigating Donna S. Brown’s alleged Ponzi scheme and would like to talk to investors.

Donna S. Brown, Charged with Alleged Money Laundering and Mail Fraud, Allegedly Lured in at Least 25 Investors into a West Virginia Ponzi Scheme

Donna S. Brown, who ran Budget Finance Co. from a small store in New Martinsville, has been charged with money laundering, wire fraud and mail fraud, according to reports from West Virginia currently under review by attorneys Alan Rosca and James Booker.

Brown allegedly sent investors fraudulent investment statements and also mailed investors federal tax forms to investors fill out, but purportedly never forwarded the forms to the IRS, said reports detail.

Finally, Budget Finance shut its doors in November 2015 sending waves through New Martinsville, according to reports from West Virginia. Brown reportedly is reportedly looking at a maximum sentence of 20 years in federal prison and a $250,000 fine for each charge, reports claim.

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 Donna Brown’s $25 million 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 Donna Brown’s alleged participation in a $25 million Ponzi scheme 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Tom Andrews—Investment Fraud

Tom Andrews Allegedly Conducted a $9 Million Investment Fraud Scheme in Utah Including Doctors, Lawyers, and a Former Police Chief

Tom Andrews allegedly conducted a $9 Million investment fraud scheme in Utah wherein he purportedly targeted doctors, lawyers, businessmen and even the former Nephi police chief, according to reports from Utah currently under review by attorneys Alan Rosca and James Booker.

Andrews often allegedly advised clients to roll their cash into other companies, but he was only purportedly putting the funds into his own personal accounts, said reports note.

The Peiffer Rosca Wolf securities lawyers are investigating Tom Andrews’ alleged investment scheme.

Over Twenty Clients Allegedly Fell Prey to Tom Andrews’ Investment Scheme; Andrews Pleads Guilty to Securities and Mail Fraud as Reports of Fraud Grow in Utah

Tom Andrews allegedly ran the same roll-over scheme with over twenty clients, according to the aforementioned reports from Utah presently being examined by attorneys Alan Rosca and James Booker.

As a result, Andrews has plead guilty to securities and mail fraud after allegedly cutting a deal with federal prosecutors which has him looking at four to five years in prison, reports from Utah notes.

Utah has seen a sharp increase in reports of fraud cases and the Utah Attorney General has even labeled it as an “epidemic”, according to reports from Utah.

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 Tom Andrews’ alleged participation in a $9 million investment 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 Tom Andrews’ alleged participation in a $9 million investment 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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Ryan Gilbertson, Michael Reger and Dakota Plains Holdings – Stock Manipulation Scheme

New Orleans stockbroker fraud attorney

Ryan Gilbertson and Michael Reger Allegedly Orchestrated a Stock Manipulation Scheme and Entered into an Agreement to Borrow Money under Favorable Terms which Delivered Bonus Packages to Themselves

Gilbertson and Reger allegedly hired one of their friends as CEO of Dakota Plains Holding, and also took part in lending agreements which provided favorable terms including bonus payments to Gilbertson and Reger, according to SEC documents being analyzed by attorneys Alan Rosca and James Booker.

What is more, Gilbertson allegedly took on friends and acquaintances such as Douglas Hoskins and Thomas Howells to orchestrate deep sales and purchases of Dakota Plains stock which purportedly shot the stock price from $.30 to more than $11 during a 20-day period, the SEC also reports.

As a result, the allegedly over-extended stock price caused Dakota Plains to shell out $32 million in bonus payments to Gilbertson, Reger, and others, the SEC notes.

Ryan Gilbertson Allegedly Ran an Intricate Scheme to Siphon Funds from Dakota Plains Holdings, an Oil-shipping Rail Facility in North Dakota

Ryan Gilbertson and Michael Reger allegedly took part in an intricate scheme to siphon millions of dollars from Dakota Plains Holding, a Minnesota-based energy company, according to SEC Documents currently under review by attorneys Alan Rosca and James Booker.

Gilbertson and Reger allegedly put their fathers in charge of the company as mere token executives in order to gain control of the company and issue millions of shares of company stock to friends, family, and their own persons, the SEC also reports.

The Peiffer Rosca Wolf securities lawyers are investigating Ryan Gilbertson and Michael Reger’s alleged financial scheme.

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 Ryan Gilbertson and Michael Reger’s alleged participation in a stock manipulation 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 Ryan Gilbertson and Michael Reger’s alleged participation in a stock manipulation scheme 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 — Misappropriation of Client Funds, Investment Fraud

Ash Narayan, of Irvine, California Dealing with Interim Suspension Delivered by the Certified Financial Planner Board of Standards, Inc. (CFP Board)

Ash Narayan, of Irvine, California, must face the consequences of an interim suspension from the Certified Financial Planner Board of Standards, Inc. (CFP Board), according to reports from the CFP under examination from attorneys Alan Rosca and James Booker.

Things came to light on October 25th after the CFP Board caught word that Narayan was the seminal defendant in an SEC Complaint which alleges that he misappropriated funds and orchestrated an investment scam, according to the aforementioned CFP documents.

The Peiffer Rosca Wolf securities lawyers are investigating Ash Narayan, are speaking with investors, and are preparing to take action on the case.

Ash Narayan Making Appearance before CFP Board with Burden to Prove Behavior Did Not Reflect Poorly Upon Reputation of  CFP

Ash Narayan allegedly orchestrated an investment fraud wherein he persuaded several professional athletes to invest in the Ticket Reserve, according to SEC Documents under examination by attorneys Alan Rosca and James Booker.

Hence, Narayan appeared before the CFP’s Commission where he faced the burden to prove that the aforementioned conduct did not make a situation that presented clear and present hard to the reputation of the CFP marks, according to the aforementioned CFP documents.

The CFP Commission ruled that Narayan did not prove that he did not pose a visible threat to the public and that his his actions did not cause harm on the CFP marks, CFP documents note. In the end Narayan was suspended on an interim basis.

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 Ash Narayan’s alleged participation in  a $33 million investment fraud. They are looking into the case on behalf of investors and are preparing to take action.

Investors who believe they lost money as a result of Ash Narayan’s alleged participation in  a $33 million investment 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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