Indiana Investment Professional Charged with Fraud

Lynn A. Simon, an Evansville investment adviser, has been charged with securities fraud for allegedly swindling investors in his area of more than $1 million. Investigation by securities lawyers Jason Kane and Joe Peiffer established that Lynn Simon was a licensed investment professional, working out of a Kokomo, Indiana branch office. Simon also operated a… Read more »

Colorado Stockbroker Charged with Investment Fraud

Brian Elrod, a Buffalo Creek, Colorado stockbroker, has been accused of perpetrating a fraudulent investment scheme that raised millions of dollars from investors between March and November, 2009. Elrod has been sued by the Securities and Exchange Commission for allegedly conducting a fraudulent offering of promissory notes.  The Commission also sued California attorney Nova Dean… Read more »

Atlanta Investment Professional Charged with Fraud

Atlanta stockbroker Blake Richards has been charged with fraud.  Securities attorneys Jason Kane and Joe Peiffer are investigating Blake Richards on behalf of investors. Buford, Georgia investment advisor Blake Richards has been charged by federal securities regulators with fraud and misappropriation of customer funds. Investigation by securities lawyers Jason Kane and Joe Peiffer has established… Read more »

Oscar Villarreal’s WW Capital III Fund Investigated by Attorneys Jason Kane, Joe Peiffer

WW Capital III Fund, organized by Cleveland investment professional Oscar Villarreal, is being investigated by Cleveland attorney Jason Kane and New Orleans attorney Joe Peiffer, following allegations of possible investment misconduct reported in the Cleveland media. Oscar Villarreal raised funds for his WW Capital III fund from several prominent Cleveland area investors, according to a September 5, 2013 article… Read more »

Dunham Mortgage Fund Investor Recovers Losses

A Dunham Mortgage Fund investor recently received compensation for the losses he suffered on his Dunham investment from the stock brokerage firm that sold him that investment.  The Dunham Mortgage Fund investor sued Cetera Financial and two other financial service providers in FINRA arbitration, for more than $2.5 million. The Dunham Mortgage Fund investor charged Cetera Financial and the other two respondents with misrepresentation, negligence, breach… Read more »

Securities Attorneys Jason Kane, Joe Peiffer Investigating Improper Equity-Linked Securities Sales

Securities attorneys Jason Kane and Joe Peiffer are investigating improper sales to investors of certain structured products called equity-linked securities (“ELKs”). Equity-linked securities are investment products that are sometimes included in speculative investment strategies recommended by investment professionals to their customers.  Such investment strategies may be improper for some members of the investing public, given such investors’ risk profile… Read more »

California Stockbroker Charged with Fraud

A San Diego, California stockbroker was charged with fraud in connection with his role promoting an allegedly fraudulent, multi-million dollar investment scheme. The alleged Ponzi scheme was promoted nationwide.  The promoters, along with the San Diego stockbroker, purported to operate an algorithmic hedge fund.  They assured investors they had created a computerized, high speed arbitrage program designed… Read more »

Thompson National Properties Investors Suing Underwriter of TNP 2008 Participating Notes

TNP 2008 Participating Note investors have sued Berthel Fisher & Company, an Iowa stockbrokerage firm that helped promote that TNP-sponsored real estate investment program to the investing public. The investors are represented by securities attorneys Jason Kane and Joe Peiffer, along with their Iowa co-counsel. Thompson National Properties (“TNP”), an Irvine, California real estate management firm, has organized and promoted… Read more »

Seattle Investment Professional Guilty of Fraud

Jose Nino De Guzman, a Seattle investmnet professional, pled guilty of fraud in connectin with a real estate investment program he created and promoted to investors in Washington state and elsewhere. De Guzman established and managed NDG Investment Group, a real estate investment firm that promoted real estate investment opportunities in Peru, according to court… Read more »

Investment Recovery Options for Glen Galemmo Investors

Securities attorneys Jason Kane and Joe Peiffer continue to investigate the alleged Ponzi scheme perpetrated by Cincinnati investment advisor Glen Galemmo and are focusing on a number of possible investment loss recovery options. Galemmo has been accused of perpetrating a Ponzi scheme that may have been defrauded hundreds of investors nationwide out of tens of millions of dollars…. Read more »