Aspirity Holdings — Investment Misconduct Investigation

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Investors in Tim Krieger’s Aspirity Energy Could be out up to $30 Million Following the Golden Valley-Based Firm’s Bankruptcy Filing; Krieger Won National Championships as a Star Wrestler for Iowa State and Went on to Make Millions in Commodities Trading Have you or a loved one lost money investing with Tim Krieger’s Aspirity Energy? Tim… Read more »

Christopher Brogdon Investor Alert: Brogdon Bankruptcy Filing

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Christopher Brogdon, the organizer of several municipal bond offerings accused of fraud by the Securities and Exchange Commission in 2015, filed a bankruptcy petition on September 15, 2017 in the United States Bankruptcy Court for the Northern District of Georgia.  He sought that the bankruptcy be maintained under Ch. 11 of the Bankruptcy Code. Brogdon… Read more »

Jonathan Freeze — Alleged Unsuitable Recommendations of Variable Annuities

Jonathan Freeze, Formerly of LPL Financial, Allegedly Made Unsuitable Recommendations to His Customers to Invest in Variable Annuities Jonathan Freeze, of Fredericksburg, Virginia, and formerly of LPL Financial, allegedly made unsuitable recommendation of variable annuities, according to a a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James… Read more »

Adam Veron— Alleged Private Securities Transactions without Proper Notice

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Adam K. Veron Formed Contract Funding & Corporate Management LLC (CFCM) and Allegedly then Sold Approximately $1.8 Million of CFCM Shares to Nine Questar Customers and $50,000 of Shares to One Non-customer, All Without Informing Questar Adam Veron formed Contract Funding & Corporate Management LLC (CFCM) and then allegedly sold approximately $1.8 Million of CFCM… Read more »

John Correnti— Alleged Undisclosed Outside Business Activities

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John P. Correnti, of Cleveland, Ohio, Allegedly Engaged in Outside Business Activities John Correnti, of Cleveland, Ohio, allegedly engaged in outside business activities, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Investors who believe they may have lost money in activity related to… Read more »

Elaine LaCerte — Alleged Unsuitable Pattern of Short-term Trading

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Elaine D. LaCerte Allegedly Engaged in an Unsuitable Short-term Trading of Unit Investment Trusts (UIT’s) in 107 Customer Accounts Elaine LaCerte, between July 1, 2012 and December 31, 2014, allegedly engaged in an unsuitable short-term trading pattern of unit investment trusts (UIT’s) in customer accounts, according to a recent Letter of Acceptance, Waiver and Consent… Read more »

Frederick D. Houck— Alleged Discretionary Trading

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Frederick Houck Allegedly Engaged in Discretionary Trading and Purportedly Executed 491 Transactions in the Accounts of Two Customers without Permission from Freedom Investors Corp Frederick Houck, from August 2011 through September 2015, allegedly engaged in exercised discretion in executing 491 transactions in the accounts of two customers pursuant to a recommended investment strategy, according to… Read more »

John Edes — Alleged Investment Fraud

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John C. Edes, a Former Broker at Equity Services, Inc., Barred from the Securities Industry by FINRA Have you or a loved one invested your hard-earned money with John C. Edes of East, Greenwich, Rhode Island? John Edes, a financial advisor who was a registered representative of Equity Services, Inc. (ESI) in Rhode Island from… Read more »

James Meagher— Alleged Trading Activity Known as Marking the Close

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James Stewart Meagher Allegedly Engaged in Two Separate Fraudulent Trading Schemes including Activity Known as Marking the Close; Meagher Allegedly also Gave False and Misleading Testimony in Connection with a FINRA Investigation James Stewart Meagher allegedly participated in two separate fraudulent schemes including activity known as marking the close and also allegedly gave false and misleading… Read more »

Mark Perry— Unsuitable Investment Recommendations

Mark S. Perry Allegedly Made Unsuitable Investment Recommendations to Four Elderly Customers; Perry Allegedly Concentrated Customers’ Accounts in Precious Metal Sector Securities and Recommended Customers to Buy Leveraged Mutual Funds or ETF’s for Extended Periods Mark Perry allegedly made unsuitable investment recommendations to four elderly customers and allegedly concentrated his customers’ accounts in precious metal… Read more »