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Christopher Tolmacs Investigation — Borrowing Money from Customers of his Brokerage Firm

Chris Tolmacs Allegedly Borrowed Money from Customers of His Brokerage Firm, Triad Advisors; Investor Right Lawyers Investigating Christopher Tolmacs allegedly borrowed money from customers of his brokerage firm, Triad Advisors, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Cleveland investor right attorneys Alan Rosca and James Booker… Read more »

Darrin B. Farrow—Private Securities Transactions without Proper Approval

Darrin B. Farrow Allegedly Participated in Private Securities Transactions, MAD Farmaceuticals and MAD Oregon LLC, without Disclosing Said Transactions to His Broker-Dealer, Royal Alliance Darrin B. Farrow, of Rocky River, Ohio, allegedly participated in private securities transactions without disclosing said transactions to broker-dealer, Royal Alliance, according to a recent FINRA Letter of Acceptance, Waiver and… Read more »

Brandon D. Gioffre—Private Securities Transactions without Proper Prior Notice

Brandon D. Gioffre Allegedly Participated in Private Securities Transactions without Providing Prior Notice to his Firm, Constellation Wealth Advisors LLC Brandon D. Gioffre allegedly participated in private securities transactions without providing prior notice to his firm, Constellation Wealth Advisors LLC (CWA), according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by… Read more »

Robert Neil Tricarico— Fraud & Stealing from Clients

Robert Neil Tricarico Allegedly Committed Acts of Fraud and Stole More than $1.2 Million from a Client Robert Tricarico, 60 and a Milford financial advisor, allegedly committed acts of fraud and stole more than $1.2 million from a client, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) and Documents from the… Read more »

Edward S. Manges—Providing False Information in Written Statements Submitted to FINRA

Edward S. Manges Allegedly Provided False Information in Written Statements Submitted to FINRA Edward S. Manges allegedly provided false information in written statements submitted to FINRA, and his on-the-record interviews, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Edward S. Manges… Read more »

Edward Joseph Bosch, Sr.—Conversion of Customer Funds and Production of False Accounts

Edward Joseph Bosch, Sr. Allegedly Converted Customer Funds and Generated False Account Statements in Order to Conceal his Purported Misconduct Edward Joseph Bosch, Sr. allegedly converted customer funds and generated false account statements to conceal his misconduct, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan… Read more »

Haena Park, Founder of Phaetra Capital GP— Ponzi Scheme

Haena Park, a Harvard Grad and Founder of Phaetra Capital GP, Allegedly Operated a $23 Million Ponzi Scheme after Purportedly Falsely Flaunting her Currency Trading Acumen Haena Park allegedly operated a $23 million Ponzi scheme after falsely touting her currency trading prowess and using new money to make Ponzi-like payments to earlier investors, according to… Read more »

Jean Walsh-Josephson—Misappropriation of Funds

Jean Walsh-Josephson, 56 and of Oshkosh, Wisconsin, Allegedly Misappropriated $4 million from Elderly Clients over the Past 10 Years Jean Walsh-Josephson, 56 and of Oshkosh, Wisconsin, allegedly misappropriated $4 million from elderly clients over the past 10 years, according to Documents from the Wisconsin Office of the Commissioner of Insurance currently under review by attorneys… Read more »

Oppenheimer & Co. Inc.– Failure to Establish, Maintain and Enforce a Reasonably-designed Supervisory System

Oppenheimer & Co. Inc. Allegedly Failed to Establish, Maintain and Enforce a Reasonably-designed Supervisory System Oppenheimer & Co. Inc. failed to establish, maintain and enforce a reasonably-designed supervisory system, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Oppenheimer,  from August 4,… Read more »