Lona Nanna – Outside Business Activities

California stockbroker fraud attorney

Lona M. Nanna Allegedly Knew about Outside Business Activities Engaged in by Robert Lawson; Nanna Allegedly Failed to Make Timely Updates to Lawson’s Securities Industry Registration Form Lona Nanna, from 2009 through 2016, allegedly knew about outside business activities engaged in by Robert Lawson, the CEO of Lawson Financial Corporation’s (LFC), according to a Complaint… Read more »

Paul Wescoe Smith—Private Securities Transaction

Cleveland stockbroker fraud attorney

Paul Wescoe Smith Allegedly Engaged in a Private Securities Transaction Paul Wescoe Smith, formerly associated with Bolton Global Capital in Wayne, Pennsylvania, allegedly engaged in a private securities transaction, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Investors who believe they may have… Read more »

Christopher Hickman– Unsuitable Pattern of Short-term Trading

Christopher R. Hickman Allegedly Engaged in an Unsuitable Pattern of Short-term Trading of UIT’s in Six Customer Accounts; Hickman’s Clients Allegedly Lost Approximately $115,989.75 Christopher Hickman, of Delray Beach, Florida and a former advisor at Cetera Advisors, allegedly engaged in a pattern of unsuitable short-term trading of UIT’s in six customer accounts with purported losses… Read more »

James Keith Cox— Recommen ding Unsuitable Annuity Transactions to a Customer

Cleveland stockbroker fraud lawyer

James Keith Cox, of Baton Rouge, Allegedly Recommended Unsuitable Annuity Transactions to a Customer and Took in $25,460 Related to the Exchange James Keith Cox, of Baton Rouge, allegedly recommended unsuitable annuity transactions to a customer and took in $25,460 in relation to the exchange, according to a recent Letter of Acceptance, Waiver and Consent… Read more »

Kyle Harrington & Linda Milberger — Undisclosed Private Securities Transactions

Rochester stockbroker fraud attorney

Kyle P. Harrington Allegedly Engaged in Undisclosed Private Securities Transactions and Also Attempted to Hide Them from National Securities Corporation; Linda Milberger Allegedly Helped Create False Documents to Submit to FINRA to Hide Said Misconduct Kyle Harrington allegedly engaged in undisclosed private securities transactions and also made attempts to conceal them from National Securities Corporation while Linda… Read more »

Kim Dee Isaacson– Fraudulent Misrepresentations and Omissions of Material Facts

Rochester stockbroker fraud attorney

Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to Morgan Stanley Customers Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to Morgan Stanley customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker. Peiffer Rosca Wolf securities… Read more »

Wells Fargo—Improper Changes to Mortgages

New Orleans investment fraud attorney

Wells Fargo’s Mortgage Office, Despite a Major Scandal in Its Consumer Division, Allegedly Put Unauthorized Changes Through to Home Loans Which Were Owned by Customers in Bankruptcy Well Fargo’s Mortgage side allegedly put unauthorized changes through to home loans which were purportedly owned by clients in a state of bankruptcy, according to a new Class… Read more »

Heidi Heiser & CenturyLink Inc.– Culture of High-Pressure Sales

New York investor rights attorney

Heidi Heiser Allegedly Lost Her Job at CenturyLink after during the Process of a Companywide Question-and-answer Session on an Internal Message Board; Heiser, a Former Customer Service and Sales Agent for CenturyLink from August 2015 to October 2016, Alleges a High-Pressure Sales Culture at CenturyLink Inc. Heidi Heiser was terminated from CenturyLink Inc. soon after… Read more »

Mark Sellers, John Scott Elliott—Ponzi Scheme

Mark Sellers Allegedly Orchestrated a Ponzi Scheme with Alleged Help from John Scott Elliott to Purportedly Sell Investments in Kansas City-Based Selden Companies Have you or a loved one lost money investing in Selden Companies LLC? Mark Sellers, the owner of Selden Companies LLC, a Kansas City, Missouri-area based firm, allegedly orchestrated a Ponzi scheme, according to an… Read more »

Brent Hurt—Failure to Properly Supervise Registered Reps

Cleveland stockbroker fraud lawyer

Brent D. Hurt Allegedly Failed to Supervise a Registered Rep from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) Relating to the Sales of a Private Offering Brent Hurt allegedly failed to supervise a registered rep, Eric Johnson from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) relating to the sales… Read more »