Capitol Equity FX LLC, Robert Leland Johnson IV, Marisa Elena Johnson– Misrepresentations and Material Omissions

Capitol Equity FX LLC,  a purported California hedge fund, and its principals and agents, Robert Leland Johnson IV and Marisa Elena Johnson, Allegedly Made Material Misrepresentations and Omissions Knowingly Regarding their Trading Abilities, Strategies, and Profits in Order to Bring in and Transfer Funds to Pool Participants

Capitol Equity FX LLC and its principals and agents, Robert Leland Johnson IV and Marisa Elena Johnson, allegedly knowingly made material misrepresentations and omissions concerning their trading abilities, strategies, and profits for the purpose of enticing pool participants to transfer funds, according to Documents from the U.S. Commodity Futures Trading Commission (CFTC) 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 Capitol Equity FX LLC’s alleged investment fraud.

Investors who believe they may have lost money in activity related to Capitol Equity FX LLC’s alleged commodity’s fraud are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

Capitol Equity FX LLC, a purported hedge fund operating in California, also allegedly committed commodity futures fraud, off-exchange, leveraged or margined retail foreign currency (FOREX) fraud, commodity pool fraud, and also allegedly failed to register with the CFTC, according to the aforementioned CFTC Documents.

The Peiffer Rosca Wolf securities lawyers are currently investigating Capitol Equity FX LLC’s alleged investment fraud.

Capitol Equity FX LLC, and its principals and agents, Robert Leland Johnson IV and Marisa Elena Johnson, Allegedly Made Fraudulent Solicitations of at least $1,735,750 from Public Members to Participate in a Pooled Fund that Traded Commodity Futures and FOREX Contracts; Capitol Equity FX LLC  Allegedly Made Ponzi-like Payments

Capitol Equity FX LLC and its principals and agents, Robert Leland Johnson IV and Marisa Elena Johnson, from at least May 2012 through May 2015, allegedly made fraudulent solicitations of at least $1,735,750 from people in a so-called pool fund that traded commodity futures and FOREX contracts, according to a CFTC Complaint currently under review by attorneys Alan Rosca and James Booker.

What is more, the aforementioned defendants also allegedly created the aforementioned pool participants with fabricated performance statements and account documents designed to mislead pool participants, said Complaint notes.

The aforementioned defendants also allegedly diverted a percentage of pool participants’ funds to earlier customers in a so-called Ponzi-like manner, the Complaint notes.

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 Capitol Equity FX LLC’s alleged 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 Capitol Equity FX LLC’s alleged 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 http://ift.tt/2p6yQsx
via Securitieslitigatos.com

Demitrios Hallas—Unsuitable Trading in Customer Accounts

Demitrios Hallas Allegedly Engaged in Reckless Trading of Investment Instruments in the Accounts of Five Customers; Hallas Also Allegedly Misappropriated over $170,000 from One Customer

Demitrios Hallas knowingly or recklessly allegedly made trades in unsuitable investment products in the accounts of five customers and also allegedly misappropriated over $170,000 from one customer, according to an SEC Complaint.

Demitrios Hallas allegedly regularly traded unsuitable investments in his customers’ accounts which ultimately exposed unsophisticated customers with limited or no investing experience and modest incomes, net worth levels, and assets to significant degrees of volatility and risk, the SEC Complaint notes.

Hallas, in under a year, allegedly traded 179 daily leveraged exchange traded funds (ETFs) and exchange traded notes (ETNs) in the customers’ accounts, which went on to  generate commissions and fees of approximately $128,000, the SEC Complaint reports.

Demitrios Hallas Allegedly Accrued Net Losses of $150,000 across179 Trading Positions

Demitrios Hallas allegedly generated commissions and fees of approximately $128,000 and the alleged net loss across all 179 positions was approximately $150,000, according to the aforementioned SEC Complaint.

The SEC’s complaint further alleges that Hallas allegedly misappropriated over $170,000 in funds from a single customer, the Complaint notes.

Hallas, instead of investing the funds on the customer’s behalf, allegedly made deposits of funds into his own personal bank accounts and used them on personal expenses, including large bar and restaurant bills, credit card and student loan payments, and rent, the SEC notes.

It should also be noted that the SEC alleges that ETFs and ETNs are inherently risky, complex and volatile, and only appropriate for sophisticated investors.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of unsuitable trading. 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 have lost money as a result of unsuitable trading schemes 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 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/2pu7Gi9
via Securitieslitigatos.com

Thomas Edward Andrews—Investment Fraud

Thomas Edward Andrews, a Former LPL Financial Representative, Allegedly Convinced 23 Investors to Put Savings and Retirement Funds into Two Investments, “the Jackson Trust” and “the Lincoln”; Most Investors Were from a Small Utah Community

Thomas Edward Andrews, from 2010 through the autumn of 2015, allegedly convinced 23 investors to Put Savings and Retirement Funds into Two Investments, “the Jackson Trust” and “the Lincoln”, according to an SEC complaint 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 Thomas Edward Andrews’ alleged investment fraud.

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

Thomas Edward Andrews, a former LPL Financial representative who was employed as an independent contractor by Gary A. York & Associates of Salt Lake City, an office of supervisory jurisdiction of LPL Financial, allegedly targeted financially unsophisticated residents of a small rural Utah community, according to the aforementioned SEC Complaint.

The majority of Andrews’ alleged victims were individuals he had previously known while growing up in Nephi, Utah, and many people had first been clients of a tax, accounting and bookkeeping business run by Andrews’ father, the SEC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Thomas Edward Andrews’ alleged investment fraud.

Thomas Edward Andrews Allegedly Guaranteed Investors that the “Jackson Trust” would bring an Annual Return of 6 to 8.5 Percent and that the “Lincoln” investments would Purportedly Bring in 5 Percent or the Quarterly S&P Index, Whichever was Higher

Thomas Edward Andrews allegedly told investors that the “Jackson Trust” was good for guaranteed annual returns of 6 to 8.5 percent and that the “Lincoln” investments would generate a return equal to 5 percent, or the quarterly S&P index return, whichever number was higher, according to the aforementioned SEC Complaint currently under review by attorneys Alan Rosca and James Booker.

Andrews allegedly set up bank accounts for the fictitious entities at a local credit union, with himself as trustee and sole signatory, the Complaint reports.

Andrews allegedly deposited investors’ checks into said accounts and eventually transferred the funds to his own account at the same credit union, all purportedly without the knowledge of his investors, the Complaint states.

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 Thomas Edward Andrews’ alleged 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 Thomas Edward Andrews’ alleged 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 http://ift.tt/2qvPmTZ
via Securitieslitigatos.com

Mantford Hawkins and David Bell, 4D Circle LLC– Fraudulent Real Estate Investment Scheme

Mantford C. Hawkins and David E. Bell, the CEO and COO of 4D Circle LLC, Respectively, Allegedly Obtained at Least $9 Million from 50 Investors in Seven U.S. States and Canada

Mantford Hawkins and David Bell, of Fort Worth and the CEO and COO of 4D Circle LLC, respectively, allegedly raised at least $9 Million from 50 investors in seven U.S. states and Canada, according to an SEC Complaint 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 Mantford Hawkins and David Bell’s alleged real estate investment fraud.

Investors who believe they may have lost money in activity related to Mantford Hawkins and David Bell’s alleged real estate investment fraud are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

4D allegedly made claims of being “a wealth creation company” which mostly focused on acquiring apartment and office buildings and then would supposedly apply proprietary technology and managerial practices to generate “greater profitability [with] less risk” for investors, said SEC Complaint notes.

4D’s company’s website and written offering materials also allegedly made elaborations on the aforementioned claims by asserting that investors could earn returns of 30% within a 9-month time frame, and that investments were purportedly “bonded”, the Complaint states.

What is more, 4D’s company’s website and written offering materials also allegedly claimed that investor funds were protected through the use of escrow accounts and third-party oversight which included “case studies” of particular properties the company had acquired, which supposedly showed the profitability of its model, the Complaint reports.

Furthermore, 4D’s company’s website and written offering materials also allegedly included “case studies” of particular properties the company had acquired, which purported to demonstrate the profitability of its model, the Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Mantford Hawkins and David Bell’s alleged real estate investment fraud.

Mantford C. Hawkins and David E. Bell Allegedly Produced False Content for Their Web Site and Offering Materials; 4D was allegedly not Making Sufficient Revenue to Support Returns to Investors

The aforementioned claims in the representations and case studies were allegedly false and said properties 4D had acquired were not generating anywhere near sufficient revenue to support the returns promised to investors, according to the aforementioned SEC Complaint currently under review by attorneys Alan Rosca and James Booker.

Hawkins and Bell allegedly held knowledge that the properties they had acquired were not producing nearly enough sufficient revenue to support the returns promised to investors, the Complaint states.

The so-called “bond” which supposedly supported the investments was inadequate to cover the returns promised to investors and, in reality, did not apply to most of the properties 4D Circle had acquired, the Complaint reports.

The Complaint seeks preliminary and permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties in addition to seeking the asset freeze and receivership.

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 Mantford Hawkins and David Bell’s alleged real estate 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 Mantford Hawkins and David Bell’s alleged real estate 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 http://ift.tt/2pmINGd
via Securitieslitigatos.com

Michael Boswell, Tripoint Global Equities LLC—Securities Fraud

Michael Boswell, Co-founder and President of Tripoint Global Equities LLC, Allegedly Operated a $81 Million “Hamilton” Ponzi Scheme Promising Profits from Broadway Ticket Sales

Michael Boswell, co-founder and President of Tripoint Global Equities LLC, allegedly ran a $81 million Ponzi scheme promising profits from reselling tickets from the Broadway hit “Hamilton”, according to Documents from the U.S. Securities and Exchange Commission (SEC) 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 Michael Boswell’s alleged Ponzi scheme.

Investors who believe they may have lost money in activity related to Michael Boswell’s 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.

The president of a broker-dealer allegedly told a New York federal court recently that an investor failed to allege he committed an act of securities fraud in a suit involving an alleged $81 million Ponzi scheme that had promised big profits from the resale of tickets to the hit Broadway musical “Hamilton”, according to said SEC Documents.

Michael Boswell allegedly made arguments that an investor’s so-called “shotgun pleading” purportedly did not actually allege that he performed any wrongdoing, and said he should be liberated from the case that accuses TriPoint of passing off the investment as a “no-brainer”, SEC Documents note.

Boswell purportedly made the following statement: “Plaintiffs make no factual allegations with respect to any purported wrongdoing by Mr. Boswell under any of the counts of the amended complaint.”

The Peiffer Rosca Wolf securities lawyers are currently investigating whether investors who invested through TriPoint may have claims against that brokerage firm’s alleged Ponzi scheme.

Scheme’s Promoters Allegedly Made Misrepresentations to at Least 125 Investors that their Funds would be Pooled to Purchase Big Numbers of Tickets to Hit Events like “Hamilton” or Adele Concerts

Promoters of the scheme allegedly made misrepresentations to at least 125 investors that their funds would be pooled to purchase big numbers of tickets to huge events like “Hamilton” or Adele concerts, which would then be resold to bring in big returns, said SEC Documents report.

Promoters then allegedly made false assertions to investors that he had an agreement with the producer of “Hamilton” to purchase 35,000 tickets to the musical to be resold for a profit, SEC Documents note.

But of the aforementioned $81 million which was raised, only $9 million was spent in connection with the ticket reselling business, while $48 million was used to pay existing investors, according to the Complaint.

Other investors also claim to have purportedly lost about $4.5 million between them after a Tripoint investment banker gave them a so-called “hard sell” on the ticket resale investment, according to recent Reports from New York.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of Ponzi schemes and are currently investigating whether investors who invested through TriPoint may have claims against that brokerage firm’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 the alleged “Hamiltion” 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 http://ift.tt/2p0DQQf
via Securitieslitigatos.com

Brogdon Bond Investor News: Lawson Financial and Its Underwriter’s Counsel Settle SEC Charges Stemming from Failed Brogdon Bonds

April 5, 2017 – The Securities and Exchange Commission (“SEC”) announced a settlement with Lawson Financial Corporation (“Lawson”), Robert Lawson, and former underwriter’s counsel John T. Lynch in a case stemming from Lawson’s offering of fraudulent bonds managed by Christopher Brogdon. The SEC order which memorializes the settlement specifically finds that Lawson and the named individuals failed in their duty to act as a gatekeeper – to perform adequate due diligence – when underwriting the Brogdon bonds. Lawson must pay $200,000 in penalties for itself and $80,000 for Robert Lawson himself, as well as disgorge $200,000 in profits from the bond sales. Lynch, the former underwriter’s counsel, will pay a separate penalty of $45,000.

The root of the SEC’s complaint against Lawson was that the company failed to confirm that the Brogdon borrowers were following the ongoing disclosure requirements mandated by Rule 15c2-12. Lynch also failed to disclose that he was not authorized to practice law at the time of the offerings, despite being represented as such in the offering documents. This failure of due diligence abdicated the gatekeeper role that underwriters perform, and left investors high and dry while making Lawson and Brogdon substantial amounts of money.

The securities litigators at the Peiffer Rosca Wolf law firm are investigating the Brogdon products sold by Lawson, and are currently prosecuting a case on behalf of certain Brogdon investors. If you lost money by purchasing bonds managed by Brogdon, we want to hear from you. Contact attorney Alan Rosca or James Booker at 216.589.9280, or via email at arosca@prwlegal.com for an evaluation of your possible recourse regarding Brogdon bonds.

from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/2oJIXWz
via Securitieslitigatos.com

Snyder’s-Lance (LNCE) Investors: Peiffer Rosca Wolf Lawyers Investigating Share Price Drop

Snyder’s Lance (NASDAQ: LNCE), the North Carolina snack maker, is being investigated by the Peiffer Rosca Wolf law firm on behalf of its shareholders, following the company’s announcements that its CEO suddenly departed and its preliminary first quarter 2017 results are well-below its prior guidance.

Snyder’s Lance publicly announced that its financial results have been negatively impacted by increased spending on marketing and promotions. Following its announcements, LNCE’s common stock suffered a sharp drop.

The Peiffer Rosca Wolf lawyers are investigating whether Snyder’s-Lance investors may have claims for compensation arising out of potential violations of the securities laws and regulations0.

If you purchased shares of Snyder’s-Lance, believe you may have suffered a loss on your investment, and wish to learn more about your options or provide information to help our investigation, please contact Alan Rosca or James Booker, by email at arosca@prwlegal.com or jbooker@prwlegal.com, or by phone toll free at 888-998-0520.

Peiffer Rosca Wolf is an investor rights law firm with offices across the country that represents shareholders investors who are victims of investment-related misconduct by issuers of securities and/or securities industry members. To learn more about the law firm and for important information about its lawyers’ admissions, please visit our website, http://ift.tt/1PwVxPX.

from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/2pwTXVw
via Securitieslitigatos.com