Daniel S. Miller—Undisclosed Private Securities Transactions

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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Terry L. Haggerty—Manipulative Trading Activity

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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Antonio Fasolino—Olive Oil Investment Scam

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

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

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

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

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

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

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

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

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

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

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

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John N. Furkioti—Outside Business Activity

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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William Bucci—Investment Fraud

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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

New Orleans stockbroker fraud attorney

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

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

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

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

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

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

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

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

Securities Lawyers Investigating

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

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

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