John S. Hudnall– Undisclosed and Unapproved Private Securities Transaction

John S. Hudnall Allegedly Participated in an Undisclosed and Unapproved Private Securities Transaction, Made Unapproved and Undisclosed Financial Sales Promotions to Firm Customers

John S. Hudnall allegedly participated in an undisclosed and unapproved private securities transaction, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Furthermore, John S. Hudnall also allegedly made unapproved and undisclosed financial sales promotions to firm customers, recommended and sold an unsuitable variable annuity product and provided false information, said Complaint also notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating John S. Hudnall’s alleged participation in an undisclosed and unapproved private securities transaction.

John S. Hudnall Allegedly Recommended and Sold an Unsuitable Variable Annuity Product and Purportedly Provided False Information in Response to FINRA Information Requests

John S. Hudnall allegedly provided false information in response to FINRA information requests, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Hudnall, in addition, on May 9, 2012, allegedly recommended and sold a $400,000 Wells Core Office Income REIT investment to an 80-year old BancWest customer known only as AFJ which he split into two simultaneous transactions of $40,000 and $360,000, the Complaint also notes.

Hudnall, to allegedly circumvent BancWest’s supervisory review of such a large transaction, Hudnall purportedly executed the $360,000 portion of the REIT Investment directly with the REIT sponsor while submitting only the $40,000 portion to BancWest for its supervisory review, the Complaint also reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of undisclosed and unapproved private securities transactions, and are currently investigating John S. Hudnall’s undisclosed and unapproved 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 S. Hudnall’s undisclosed and unapproved 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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Stephen Silver– Private Securities Transactions

Stephen Silver Allegedly Participated in Private Securities Transactions by Facilitating the Sale of Shares of an Australian Gold Mining Company to a Singapore-based Gold Company

Stephen Silver allegedly participated in two private securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Silver’s alleged private securities transactions purportedly facilitated the sale of shares of an Australian gold mining company to a Singapore-based gold company, said Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Stephen Silver’s alleged private securities transactions.

Stephen Silver Suspended and Fined $10,000 by FINRA

The gross proceeds of the aforementioned transactions allegedly exceeded $6 million, and Stephen Silver allegedly received compensation in the amount of $200,000 for his participation, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Silver allegedly failed to provide written or any other notification of his participation to his employer member firm, Casimir Capital, at any time, and hence, by said conduct, Silver allegedly violated NASD and FINRA Rules, said Complaint notes.

Silver, as a result of the aforementioned behavior, has been suspended, fined $10,000 and ordered to pay disgorgement in the amount of $40k, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of private securities transactions, and are currently investigating Stephen Silver’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 Stephen Silver’s alleged private securities transactions 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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Mark B. Beloyan and TradeSpot Markets, Inc.—Penny Stock Recommendations without Proper Compliance

Mark B. Beloyan and TradeSpot Markets, Inc. Allegedly Recommended Penny Stocks and Took Part in Penny Stock Transactions without Proper Compliance

Mark B. Beloyan and TradeSpot Markets, Inc. allegedly recommended penny stocks and engaged in penny stock transactions without the proper required compliance for penny stock transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Beloyan allegedly sent customers a Customer Suitability Statement for their review and signature without first documenting an affirmative determination of suitability on the document, the Complaint also alleges.

The Peiffer Rosca Wolf securities lawyers are currently investigating Mark B. Beloyan’s alleged recommendation of penny stocks without the proper required compliance.

Mark B. Beloyan of TradeSpot Markets Allegedly Recommended Penny Stocks to Customers but Failed to Make Affirmative Determinations of Suitability

Mark B. Beloyan and TradeSpot Markets, Inc. allegedly recommended penny stocks to customers but failed to make affirmative determinations of suitability, in violation of FINRA Rules, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Mark B. Beloyan, in addition, allegedly inappropriately completed the dates next to certain customer signature lines on Customer Suitability Statements and Agreement to Purchase forms before sending said documents to customers, the Complaint notes.

FINRA notes that the aforementioned conduct allegedly occurred while trading shares of Mondial Ventures, Inc. and STW Resources Holding Corp, and further alleges that Beloyan often entered information on the customer’s suitability form after the customer had signed it, the Complaint reports.  FINRA is reportedly seeking to fine Beloyan and TradeSpot Markets for this conduct.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unsuitable recommendations of penny stocks and are currently investigating Mark B. Beloyan’s alleged recommendation of penny stocks and engagement in penny stock transactions without the proper required compliance 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 Mark B. Beloyan’s alleged recommendation of penny stocks and engagement in penny stock transactions without the proper required compliance alleged private securities transactions 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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Lizabeth Gotuaco Ty – Selling Unregistered Securities

Lizabeth Gotuaco Ty Allegedly Sold Unregistered Securities while Registered with Park Avenue Securities, LLC

Lizabeth Gotuaco Ty allegedly sold unregistered securities while registered with Park Avenue Securities, LLC, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Park Avenue Securities, on March 18, 2016, reportedly filed an Amended Form U5 with FINRA disclosing that a number of claimants had filed statements of claim with FINRA alleging that Ty sold unregistered securities, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Lizabeth Gotuaco Ty’s alleged sale of unregistered securities and private securities transactions.

Lizabeth Gotuaco Ty Barred for Alleged Failure to Provide Documents and Information during the Course of an Investigation into Allegations that Ty Sold Unregistered Securities

Lizabeth Gotuaco Ty allegedly failed to provide documents and information as requested by FINRA staff in a letter dated April 19, 2016, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Lizabeth Gotuaco Ty, by refusing to produce said documents and information as requested pursuant to FINRA Rules, allegedly violates FINRA Rules. As a result, Lizabeth Gotuaco Ty allegedly consented to the imposition of a bar from associating with any FINRA member in any capacity.

One should also note that, according to the AWC, Lizabeth Gotuaco Ty 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 the sale of unregistered securities and are currently investigating Lizabeth Gotuaco Ty’s sale of unregistered securities. 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 Lizabeth Gotuaco Ty’s sale of unregistered securities 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 J. Kerrigan– Undisclosed Private Securities Transactions and Outside Business Activities

Robert J. Kerrigan Allegedly Participated in Undisclosed Private Securities Transactions and Outside Business Activities

Robert J. Kerrigan allegedly participated in undisclosed private securities transactions and outside business activities, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Kerrigan, since at least October 2, 2013, allegedly offered or sold an October 2012 offering (promissory notes issued by Barcelona Advisors and investment contracts in the form of membership interests in Barcelona Advisors within and from Arizona) within or from Arizona, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Robert J. Kerrigan’s alleged participation in undisclosed private securities transactions and outside business activities.

Robert J. Kerrigan Barred by FINRA for Allegedly Refusing to Provide Documents and Information as Requested in Connection with an Investigation into a FINRA Allegation

Robert J. Kerrigan received a request from FINRA staff requesting documents and information pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Kerrigan allegedly acknowledged the FINRA request, but purportedly refused to provide the requested documents, and hence, violated FINRA Rules, the AWC notes. Kerrigan, as a result, has been barred by FINRA the AWC further alleges.

One should also note that, according to the AWC, Robert J. Kerrigan 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 outside business activities and are currently investigating Robert J. Kerrigan’s undisclosed securities transactions and outside business activities. 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 J. Kerrigan’s undisclosed securities transactions and outside business activities 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. Orchestrated an “Ongoing Fraudulent and Unregistered Securities
Offering,” the SEC Alleges

Providence Financial Investments Inc., allegedly ran an investment scheme which the SEC called an “ongoing fraudulent and unregistered securities offering”, according to according to a federal court filing in Minneapolis currently under review by attorneys Alan Rosca and James Booker.

Providence allegedly bought the bills of small businesses in Brazil, which gave them cash-in-hand upfront, then took over the task of collecting from their customers. It bundled these debts into securities with a 12- or 24-month maturity, which it then sold to investors who expected a fixed-rate return of generally 12 or 13 percent, the aforementioned filing reports.

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

Many Providence Financial Investments Inc. Clients Allegedly Rolled Their Investments Over as Their Notes Matured Rather than Cashing out, Investing Principal and the Return in a New Promissory Note

Many of Providence’s clients have allegedly rolled their investments over as their notes mature rather than cashing out, investing their principal and the return in a new promissory note, according to a federal court filing in Minneapolis currently being examined by attorneys Alan Rosca and James Booker.

The SEC further alleges that Providence’s “current financial situation appears extremely tenuous” and that the firm currently retains less than $250,000, dispersed through 28 accounts, and it that it has met challenges collecting certain of its accounts receivable from Brazil, the aforementioned filing reports.

To make matters worse, the recent devaluation of the Brazil real by as much as 50 percent compared to the rate of the 2015 U.S. dollar means Providence is not able to repatriate its Brazilian assets to repay U.S. investors without suffering huge currency exchange losses, the filing notes.

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 or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

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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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