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.

from Investment Fraud Lawyers | Investor Loss Recovery https://securitieslitigators.com/donna-s-brown-investment-fraud/
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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.

from Investment Fraud Lawyers | Investor Loss Recovery https://securitieslitigators.com/tom-andrews-investment-fraud/
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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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