Peiffer Rosca Wolf Law Firm Files Lawsuit on Behalf of Brogdon Bond Investors

investment fraud attorney Cleveland

The Peiffer Rosca Wolf securities lawyers recently filed a lawsuit on behalf of investors who purchased bonds that were offered by entities controlled by Christopher Brogdon. Investors who purchased any such bonds are encouraged to contact the Peiffer Rosca Wolf securities lawyers for a free, no-obligation evaluation of their legal options. SEC Takes Action Against… Read more »

Shawn Patrick Watkins—Real Estate Fraud Scheme

New Orleans stockbroker fraud attorney

Shawn Patrick Watkins, of Layton, Utah, Allegedly Ran a $3.5 Million Real Estate Fraud Scam Shawn Patrick Watkins, of Layton, Utah, and from about 2007 through 2014, allegedly operated a $3.5 million real estate fraud scam by offering investments in a company known as The Equity Growth Group (TEGG), according to a Federal Indictment currently… Read more »

James Paul Kolf—Material Misrepresentations and Omissions

Cleveland stockbroker fraud lawyer

James Paul Kolf Allegedly Made Material Misrepresentations and Omissions in the Sale of at Least $588,000 in So-called SFN Financial Network Securities to Twelve Customers; Kolf Allegedly Sold Non-Existing Securities James Paul Kolf, who first started in the brokerage business with New England Securities in 2009, allegedly made material misrepresentations and omissions in the sale… Read more »

Robert Estevez—Recommending Unsuitable Transactions

Rochester stockbroker fraud attorney

Robert Estevez Allegedly Recommended Unsuitable Steepener Transactions in Customer Accounts Robert Estevez allegedly recommended unsuitable steepener transactions in customer accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). Steepener accounts involve highly leveraged purchases of short-term bonds and bearish bets on long-term bonds with the hope that the difference between the… Read more »

Christopher Brogdon Bonds at Center of New Lawsuit Filed by the Peiffer Rosca Wolf Securities Attorneys

Rochester stockbroker fraud attorney

The Peiffer Rosca Wolf securities attorneys recently filed a new lawsuit on behalf of investors who invested in municipal bond offerings organized by Christopher Brogdon. The Peiffer Rosca Wolf lawyers sued a financial institution and two underwriters that, according to the allegations in the complaint, assisted in the Brogdon Bond programs. Investors who invested in… Read more »

TradeSpot Markets, Inc. and Beloyan—Recommendation of Pennt Stocks without Compliance

Cleveland stockbroker fraud lawyer

TradeSpot Markets, Inc. and Mark B. Beloyan Allegedly Engaged in Penny Stock Transactions without Proper Compliance TradeSpot Markets, Inc., acting through Mark B. Beloyan, allegedly engaged in penny stock transactions without complying with the proper requirements for penny stock transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan… Read more »

CodeSmart- Pump-And-Dump Scheme

investment fraud attorney Cleveland

Investment Professionals Allegedly Took in Millions of Dollars in an Intricate Pump-and-Dump Scheme Involving Medical Education Company CodeSmart Abraxas “A.J.” Discala and Marc E. Wexler allegedly worked with brokers Matthew A. Bell and Craig L. Josephberg along with Ira Shapiro, CEO of the medical education company Codesmart, to purportedly orchestrate a multi-million dollar pump-and-dump scheme… Read more »

Four Peiffer Rosca Wolf Partners Selected as 2017 Super Lawyers

partners-only-1

NEW ORLEANS, CLEVELAND, AND LOS ANGELES – Four Peiffer Rosca Wolf lawyers were selected to the 2017 Super Lawyers list. Super Lawyers is a rating service of outstanding lawyers who have attained a high degree of peer recognition and professional achievement, according to Thompson Reuters, its sponsor. Joseph C. Peiffer, the Peiffer Rosca Wolf managing… Read more »

Adam Denny Estes—Private Securities Transactions

New Orleans stockbroker fraud attorney

Adam Denny Estes Allegedly Participated in Eleven Private Securities Transactions, without Prior Proper Written Notice, Totaling over $1.2 Million and Involving Five Small Businesses Adam Denny Estes, between May 2012 and March 2014, allegedly engaged in eleven private securities transactions without providing prior written notice that totaled over $1.2 million, according to a recent FINRA… Read more »

Donald Watkins & Watkins Pencor LLC and Masada Resource Group LLC — Investment Fraud Charges Regarding Waste-to-Energy Ventures

California stockbroker fraud attorney

Donald Watkins, a Well-known Alabama Attorney, Allegedly Defrauded Professional Athletes and Assorted Investors Claiming to Use Funds to Foster Waste-to-Energy Ventures Donald Watkins and his Watkins Pencor LLC and Masada Resource Group LLC allegedly orchestrated a multi-million dollar investment luring pro athletes and other investors to put their hard-earned cash to foster purported waste-to-energy ventures,… Read more »