Underwriter of Municipal Bonds Issued by Washington’s Wenatchee Valley Region Investigated

The underwriter of a municipal bond offering conducted by Washington State’s Greater Wenatchee Regional Events Center Public Facilities District is being investigated by the securities lawyers at the Peiffer Wolf law firm, for its role in the promotion of that offering. The Greater Wenatchee Regional Events Center Public Facilities District offered a series of municipal bonds to finance the construction… Read more »

Richard Schwartz Fraud Recovery Options for Investors

Richard Schwartz, an investment advisor formerly in Kokomo, Indiana, has been accused by regulators of perpetrating a fraudulent investment scheme that victimized scores of investors across the country, under the umbrella of RAS & Associates, his investment advisory firm. Richard Schwartz was a licensed securities stockbroker, affiliated with securities broker-dealer firms throughout his career, according to regulatory… Read more »

Christopher Linton Indicted for Integrity Capital Alleged Fraud

Christopher Shawn Linton, a former Alabaster, Alabama attorney, was indicted for organizing an allegedly fraudulent investment scheme known as Integrity Capital, in the greater Birmingham area. Chris Linton was charged with perpetrating a securities fraud scheme as well as bank fraud, through Integrity Capital, a factoring business.  Linton purchased stock in Integrity Capital in 2007 and became the company’s officer and… Read more »

Tony Thompson, Thompson National Properties, and TNP Strategic Retail Trust Sued

Tony Thompson, Thompson National Properties, and TNP Strategic Retail Trust have been sued in a class action by securities attorneys Jason Kane and Joe Peiffer, along with their co-counsel. Attorneys Jason Kane, Joe Peiffer, and their colleagues have been filing cases on behalf of investors in a number of real estate investment programs sponsored by Thompson National… Read more »

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 Attorney Joe Peiffer

WW Capital III Fund, organized by Cleveland investment professional Oscar Villarreal, is being investigated by 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 in the Cleveland Plain Dealer,… 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 Attorney Joe Peiffer Investigating Improper Equity-Linked Securities Sales

Securities attorney Joe Peiffer is 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 and investment… Read more »