Kevin Wanner—Securities Fraud

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Kevin Wanner Allegedly Ran a $3 Million Investment Fraud Involving over 40 Investors; Securities Lawyers Investigating Kevin Wanner received a cease-and-desist order in December of 2015 from the North Dakota Securities Department accusing him of allegedly selling fraudulent CD’s and also allegedly selling investments above current market rates, according to Documents from the North Dakota… Read more »

John Fox and Premier Cru- Wine Fraud

Investment fraud attorneys

John Fox and His Premier Cru Allegedly Ran a $45 Million Wine Commodities Scheme Commodities have been traded in Chicago since the 19th century. Back then it was the Chicago Butter and Egg Board. By the 21st century Windy City commodities traders were dealing Eurodollars and stock market indices. Now you can also add wine… Read more »

Landon L. Williams— False and Misleading Statements to Customers and Material Omissions

Rochester stockbroker fraud attorney

Landon L. Williams Allegedly Recommended Certain Securities Transactions and Made False and Misleading Statements, and/or Omitted Material Information Regarding Said Securities Landon L. Williams allegedly participated in a telephone conversation with five separate customers wherein he recommended certain securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and… Read more »

John Fox & Premier Cru—Ponzi Scheme

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John Fox Allegedly Orchestrated a $45 Million Vintage Ponzi Scheme Premier Cru Owner John Fox ran a famous Bay Area wine shop in Berkeley for decades. His customers included Arthur Patterson, of Accel Partners and an early investor in Facebook, who purportedly dropped $837,000 on vintage wines at Premier Cru, according to reports from California…. Read more »

Nathan Silva— Investment Misconduct

Cleveland stockbroker fraud lawyer

Nathan Silva Allegedly Engaged in Investment Misconduct while Working at Ameritas Investment Corp. Nathan Silva, who was associated as a registered representative and principal at Ameritas Investment Corp from August 2007 until November 21, 2014, allegedly engaged in investment misconduct, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review… Read more »

James Earl Mahan a.k.a. James Earl Mahan III—Unapproved Outside Investment

Rochester stockbroker fraud attorney

James Earl Mahan, a.k.a. James Earl Mahan III, Allegedly Recommended an Unapproved Outside Investment to a JP Morgan Client James Earl Mahan, a.k.a. James Earl Mahan III, allegedly recommended an unapproved outside investment to a JP Morgan Client, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Peiffer… Read more »

Brian James Egan—Failure to Disclose to Independent Financial Group, LLC that He Held Trading Authority

New Orleans stockbroker fraud attorney

Brian James Egan Allegedly Failed to Disclose to Independent Financial Group, LLC that He Maintained Trading Authority in a Total of 87 Brokerage Accounts for Himself and Over 60 Customers Brian James Egan allegedly failed to disclose to Independent Financial Group, LLC that he maintained and/or held trading authority in a total of 87 brokerage accounts for… Read more »

Hank M. Werner—Fraudulent Scheme

investment fraud attorney Cleveland

Hank M. Werner Allegedly Profited from an Elderly, Blind, and Physically Disabled Customer through a Fraudulent Scheme Wherein He Churned Said Customer’s Account Hank M. Werner allegedly profited from an elderly, blind, and physically disabled customer through a fraudulent scheme wherein he churned said customer’s account, according to a Complaint from FINRA’s Department of Enforcement currently under… Read more »

Jervis B. Hough—Failure to Ensure Adequate Due Diligence

California stockbroker fraud attorney

Jervis B. Hough Allegedly Failed to Ensure that First American Securities Conducted Adequate Due Diligence with Regards to a Corporate Offering Jervis B. Hough allegedly failed to ensure that First American Securities conducted adequate due diligence with regards to a corporate private placement offering, according to a recent FINRA Letter of Acceptance, Waiver and Consent… Read more »