Kim Dee Isaacson– Fraudulent Misrepresentations and Omissions of Material Facts

Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to Morgan Stanley Customers

Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to Morgan Stanley customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to Kim Dee Isaacson’s alleged fraudulent misrepresentations and omissions of material facts.

Investors who believe they may have lost money in activity related to Kim Dee Isaacson’s alleged fraudulent misrepresentations and omissions of material facts are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

Isaacson, from May 2010 through January 2014, on telephone calls conducted with a customer known only as HM, allegedly made intentional and repeated misrepresentations regarding the actual daily value of HM’s Morgan Stanley accounts so that, by January 2014, HM was purportedly led to believe that his accounts were worth $3.1 million more than their actual value, according to the aforementioned Complaint.

Isaacson also allegedly made said misrepresentations in order to hide losses and that HM’s accounts were actually not achieving the supposed four to six percent returns that Isaacson had promised his customers, the Complaint states.

Isaacdon Allegedly Effected Approximately 360 Unauthorized Trade in HM’s Accounts Including Transactions HM had Purportedly Prohibited Isaacson from Buying

Isaacson, from May 2010 through January 2014, allegedly effected approximately 360 unauthorized trades in HM’s accounts which included transactions which HM had purportedly prohibited Isaacson from purchasing, according to the aforementioned Complaint currently under review by attorneys Alan Rosca and James Booker.

What is more, Isaacson also allegedly failed to discuss the aforementioned trades with HM and implemented additional misrepresentations to HM regarding certain transactions which essentially allegedly hid his unauthorized trades, the Complaint states.

As HM reportedly discovered Isaacson‘s alleged misconduct in January 2014, Isaacson then allegedly attempted to settle HM’s Complaint away from, and without the knowledge of, Morgan Stanley, the Complaint states.

Isaacson, as a result of the alleged aforementioned misconduct, allegedly violated FINRA Rules, and therefore FINRA asks that monetary sanctions be imposed and ordered that Isaacson bear such costs of proceeding as are deemed fair and appropriate under the circumstances in accordance with FINRA Rules, the Complaint reports.

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 Kim Dee Isaacson’s alleged fraudulent misrepresentations and omissions of material facts. 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 Kim Dee Isaacson’s alleged fraudulent misrepresentations and omissions of material facts 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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Wells Fargo—Improper Changes to Mortgages

Wells Fargo’s Mortgage Office, Despite a Major Scandal in Its Consumer Division, Allegedly Put Unauthorized Changes Through to Home Loans Which Were Owned by Customers in Bankruptcy

Well Fargo’s Mortgage side allegedly put unauthorized changes through to home loans which were purportedly owned by clients in a state of bankruptcy, according to a new Class Action Suit currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating recovery options on behalf of issues related to Wells Fargo’s alleged improper changes to mortgages and would like to talk to people who believe they’ve been victimized.

Customers who believe they may have lost money in activity related to Wells Fargo’s alleged improper changes to mortgages are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The aforementioned changes reportedly caught customers off guard and allegedly dropped their monthly loan payments, which might have appeared to help borrowers, especially those in bankruptcy, the aforementioned Action notes

A closer look at the fine print, however, reveals that Wells Fargo allegedly made alterations which allegedly prolonged the terms of borrowers’ loans by decades, resulting in monthly payments for a longer period of time which would ultimately result in more cash going to the bank, the Action reports.

Wells Fargo allegedly made big changes to the home loans without approval even though any such changes to a payment plan for a person in bankruptcy are subject to approval by the court and the other parties involved, the Action states.

Said changes are allegedly part of a so-called loan trial modification process from Wells wherein borrowers in bankruptcy at risk of defaulting on the commitments they have made, and could have exposed them to potential foreclosures in the future, the Action notes.

Wells Fargo, while under Investigation for Its Alleged Practice of Opening Unwanted Bank and Credit Card Accounts in Order to Meet Sales Quotas, Has Allegedly Been Making Alterations to Borrowers’ Loans since 2015

Wells Fargo, while under investigation for its alleged practice of opening unwanted bank and credit card accounts in order to achieve sales quotas, has allegedly been making changes to borrowers’ loans since 2015, according to the aforementioned Action currently under review by attorneys Alan Rosca and James Booker.

While the exact number of cases nationwide is uncertain, seven cases detailing the aforementioned conduct have recently arisen in Louisiana, New Jersey, North Carolina, Pennsylvania and Texas with Wells Fargo showing records that it had submitted changes on at least 25 borrowers’ loans since 2015 in the North Carolina court, according to Court Records.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged mortgage loan irregularities and are currently investigating Wells Fargo’s alleged improper changes to mortgages and would to talk to people who believe they’ve been victimized. 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 Wells Fargo’s alleged improper changes to mortgages 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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Heidi Heiser & CenturyLink Inc.– Culture of High-Pressure Sales

Heidi Heiser Allegedly Lost Her Job at CenturyLink after during the Process of a Companywide Question-and-answer Session on an Internal Message Board; Heiser, a Former Customer Service and Sales Agent for CenturyLink from August 2015 to October 2016, Alleges a High-Pressure Sales Culture at CenturyLink Inc.

Heidi Heiser was terminated from CenturyLink Inc. soon after allegedly notifying Chief Executive Officer Glen Post of an alleged scheme during the course of a companywide question-and-answer session held on an internal message board, according to a lawsuit filed recently in Arizona state superior court presently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating issues related to CenturyLink Inc.’s alleged high pressure sales culture and would to talk to people who believe they’ve been victimized in the matter.

Customers who believe they may have lost money in activity related to CenturyLink Inc.’s alleged high pressure sales culture are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

Heidi Heiser, who worked from her home for CenturyLink as a customer service and sales agent from August 2015 to October 2016, has made assertions that she was allegedly terminated for being a whistleblower on her former telecommunications company’s high-pressure sales culture which allegedly had customers paying millions of dollars for accounts they did not ask for, according to the aforementioned lawsuit.

Heidi Heiser Has Made Allegations that She Was Terminated from Her Employment after Raising Concerns Regarding CenturyLink’s Purported Fraudulent Billing Systems

Heidi Heiser alleges that she lost her employment after bringing up concerns regarding fraudulent billing systems and what has been compared to a Wells Fargo-Like Scheme, according to the aforementioned lawsuit currently under review by attorneys Alan Rosca and James Booker.

The Complaint further alleges that CenturyLink “allowed persons who had a personal incentive to add services or lines to customer accounts to falsely indicate on the CenturyLink system the approval by a customer of new lines or services.”

The aforementioned scheme allegedly would also occasionally lead to charges that had not been given authorization from customers, according to the Complaint.

The Complaint further states that the alleged unauthorized fees amounted to “many millions” of dollars.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of high pressure schemes and are currently investigating CenturyLink Inc.’s alleged high pressure sales culture and would to talk to people who believe they’ve been victimized. 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 CenturyLink Inc.’s alleged high pressure sales culture 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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Mark Sellers, John Scott Elliott—Ponzi Scheme

Mark Sellers Allegedly Orchestrated a Ponzi Scheme with Alleged Help from John Scott Elliott to Purportedly Sell Investments in Kansas City-Based Selden Companies

Have you or a loved one lost money investing in Selden Companies LLC? Mark Sellers, the owner of Selden Companies LLC, a Kansas City, Missouri-area based firm, allegedly orchestrated a Ponzi scheme, according to an Action from the Department of Justice currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to Mark Sellers’ alleged Ponzi scheme.

Investors who believe they may have lost money in activity related to Mark Sellers’ alleged Ponzi scheme are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

John Elliott has been registered as a financial advisor with Ameriprise Financial Services from November 2011 to September of 2016. Elliott was terminated by Ameriprise for alleged “compliance policy violations related to selling away”, according to reports from Kansas City. The Peiffer Rosca Wolf lawyers are investigating whether Elliott helped raise funds for Sellers and his Selden Companies scheme from some investors.

Selling away is a term which refers to a financial advisor who solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm.

Mark Sellers Allegedly Ran a $10 Million Ponzi Scheme Involving Approximately 100 Investors; Sellers Reportedly Committed Suicide Following an FBI Raid of His Home

Mark Sellers allegedly ran a $10 million Ponzi scheme, from December 2007 through at least 2015, and involving about 100 investors through his firm, Selden Companies, LLC, according to the aforementioned Action presently being reviewed by attorneys Alan Rosca and James Booker.

Sellers then allegedly shot himself Tuesday morning Aug. 2 as FBI agents searched his home, according to reports from Kansas City.

Sellers allegedly made fraudulent misrepresentations to investors that he would implement the funds to buy companies and then turn them around to make a profit, the Action notes.

Sellers and his wife, however, allegedly spent almost all of the aforementioned invested funds to live a lavish lifestyle including life insurance policies, homes, jewelry, and credit card purchases which have allegedly been laundered through multiple bank accounts, the Action states.

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 Mark Sellers’ 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 Mark Sellers’ 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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Brent Hurt—Failure to Properly Supervise Registered Reps

Brent D. Hurt Allegedly Failed to Supervise a Registered Rep from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) Relating to the Sales of a Private Offering

Brent Hurt allegedly failed to supervise a registered rep, Eric Johnson from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) relating to the sales of a private offering, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to Brent Hurt’s alleged failure to properly supervise registered representatives.

Investors who believe they may have lost money in activity related to Brent Hurt’s alleged failure to properly supervise registered representatives are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

Hurt and Red Ridge Securities Inc., beginning in May 2010, allegedly participated in three separate private offerings of securities purportedly related to a real estate development project on the Bahamian island of Great Exuma, according to the aforementioned AWC.

Hurt has also allegedly been a limited partner since 1999 and is also purportedly the manager of the Great Exuma project, the AWC notes.

What is more, in order to pay for the Great Exuma project, Hurt and Red Ridge Securities also allegedly solicited three private placements of securities, including a May 2010 debt offering, an October 2012 refinancing of the 2010 debt, and a May 2013 equity offering, the AWC states.

In addition, Hurt also allegedly made Red Ridge Securities maintain incomplete subscription agreements for private offerings sold by the firm between May 2010 and September 2014, in alleged violation of NASD and FINRA Rules, the AWC reports.

The documents for each of the aforementioned offerings allegedly identified Hurt as the manager of the project and granted him broad discretion over the use of the funds in the construction project wherein investors were purportedly required to execute a subscription agreement to participate in any of the offerings, the AWC states.

Said offerings were the sold by Hurt and a registered representative of the Firm, the aforementioned Eric Johnson, the AWC notes.

Brent Hurt Suspended and Fined $10,000 by FINRA; FINRA Requires that Member Firms Establish, Maintain and Enforce Supervisory Systems and Procedures that are Reasonably Designed to Achieve Compliance with Applicable Securities Laws

Brent Hurt allegedly failed to properly supervise Eric Johnson regarding the sale of private offerings and subsequently allegedly violated NASD and FINRA Rules, and thus has been suspended and fined $10,000 by FINRA, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

NASD Rules require that member firms establish, maintain and enforce supervisory systems and procedures that are reasonably designed to achieve compliance with applicable securities laws, regulations and FINRA Rules, the AWC notes.

NASD Rules further require that supervisors take reasonable steps to ensure that securities transactions are in compliance with the applicable securities laws and rules, and that he or she investigate red flags of potential misconduct, and take appropriate action when misconduct has taken place, the AWC reports.

The SEC also allegedly brought an emergency action against Eric Johnson on November 5, 2014, which alleged that he stole up to $1 million from his clients, according to SEC Documents.

In addition, FINRA also allegedly brought a regulatory complaint against Red Ridge Securities, and Brent Hurt, and FINRA alleged that Red Ridge Securities and Brent Hurt’s alleged supervisory deficiencies allegedly allowed Johnson to perpetrate his scheme of stealing money from clients, the SEC notes.

Eric Johnson was a registered representative of Red Ridge Securities from 1999 to September 2014 and worked at Red Ridge Securities’ Chicago branch office, and he was also affiliated with HDB Advisors and HD Brent & Co., FINRA states.

Johnson was also allegedly fired from Red Ridge Securities in September 2014 in connection with allegations of theft, FINRA notes.

One should also note that, according to the AWC, Brent Hurt 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 investment fraud and are currently investigating Brent Hurt’s alleged failure to properly supervise registered representatives. 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 Brent Hurt’s alleged failure to properly supervise registered representatives 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 Jorgensen – Instructing a Client Not to Respond to FINRA

Christopher S. Jorgensen Under Investigation Regarding Allegations that His Brokerage Firm, Summit Brokerage Services, Received a Customer Complaint Alleging that Jorgenson Purportedly Directed a Customer to Not Respond to a FINRA Inquiry

Christopher Jorgensen was under investigation regarding allegations that his brokerage firm, Summit Brokerage Services, purportedly received a Customer Complaint alleging that Jorgenson directed a customer to not respond to a FINRA Inquiry, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Investors who believe they may have lost money in activity related to Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Rosca Wolf securities lawyers are currently investigating Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry.

Christopher Jorgensen was purportedly a financial advisor and registered rep of Summit Brokerage Services from January 2012 to April 2017, and was allegedly terminated by Summit Brokerage Services regarding the aforementioned allegations, according to the aforementioned AWC.

What is more, Jorgensen was also allegedly terminated by Raymond James, and he has allegedly been the subject of at least two customer complaints, the AWC states.

Christopher Jorgensen Barred by FINRA for Allegedly Refusing to Respond to a FINRA Request for On-the-record Testimony

Christopher Jorgensen barred by FINRA for allegedly refusing to respond to a FINRA Request for on-the-record testimony, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

On March 31, 2017, FINRA staff allegedly sent a request to Jorgensen, through his counsel, for on-the-record testimony pursuant to FINRA Rules, and, as in his counsel’s email to FINRA staff on April 19, 2017 acknowledged that he had received FINRA’s request but would not appear for on-the-record testimony at any time, the AWC states.

Jorgensen, by refusing to appear for on-the-record testimony as requested pursuant to FINRA Rules, allegedly violated FINRA Rules, the AWC reports.

Jorgensen, based on the aforementioned behavior allegedly violated FINRA Rules and hence has been barred by FINRA from associating with any FINRA member firm in any capacity, the AWC notes.

One should also note that, according to the AWC, Jorgensen 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 investment fraud and are currently investigating Christopher Jorgensen’s alleged directions to avoid responding to a FINRA inquiry. 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 Jorgensen’s alleged directions to avoid responding to a FINRA inquiry 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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David Wesley Wells—Misappropriation

David Wesley Wells Allegedly Misappropriated Funds while Serving for the Counsel Trust Group, an Independent Contractor Office Associated with Mid Atlantic Capital Corporation

David Wesley Wells, a broker from Hanover, Pennsylvania, allegedly misappropriated funds while serving for the Counsel Trust Group, an independent contractor office associated with Mid Atlantic Capital Corporation, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to David Wesley Wells’ alleged misappropriation of customer funds.

Investors who believe they may have lost money in activity related to David Wesley Wells’ alleged misappropriation of customer funds are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

Wells was subsequently terminated by Mid Atlantic Capital Corporation on December 21, 2016, according to the aforementioned AWC.

Next, FINRA allegedly opened an investigation into allegations of Wells aforementioned behavior, and, on February 24, 2017, made requests that Wells provide documents and information to FINRA by March 8, 2017, the AWC notes.

David Wesley Wells Barred by FINRA from Associating with any FINRA Member in any Capacity; Wells Allegedly Refused to Produce Information and Documents Pursuant to FINRA Rules

David Wesley Wells allegedly refused to produce information and documents as requested in the course of a FINRA investigation, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Wells, by refusing to produce information and documents as requested pursuant to FINRA Rules, allegedly violated FINRA Rules, the AWC states.

Wells, based on the aforementioned behavior, has been barred by FINRA from associating with any FINRA member in any capacity, the AWC reports.

In July 1999, Wells purportedly became registered with FINRA as a General Securities Representative and as an Investment Banking Representative in May 2010 with Mid Atlantic Capital Corporation where he remained until December 2016, the AWC notes. Wells is also currently not associated with any FINRA member, the AWC reports.

Wells is also registered with the SEC as an Investment Advisor, according to SEC Documents.

One should also note that, according to the AWC, David Wesley Wells 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 investment fraud and are currently investigating David Wesley Wells’ alleged misappropriation 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 David Wesley Wells’ alleged misappropriation of customer funds 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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