Paul Taboada— Alleged Misappropriation of Investor Funds and Securities

Rochester stockbroker fraud attorney

Paul E. Taboada Allegedly Misappropriated Investor Funds and Securities by Purportedly Failing to Return Excess Capital to Investors and by Failing to Distribute All of the Shares to Certain Investors in an IPO to which they were Entitled Paul Taboada allegedly misappropriated investor funds and securities by failing to return excess capital to investors and by then… Read more »

Kim Dee Isaacson—Alleged Fraudulent Misrepresentations and Omissions of Material Facts

Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to a Morgan Stanley Customer Regarding his Account Values and Isaacson’s Purchases and Sales of Securities in Said Customer’s Account Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to a Morgan Stanley customer known as HM regarding his account… Read more »

Thomas Brenner—Private Placement Offerings

Ponzi scheme recovery attorneys

Thomas J. Brenner, Jr. was Allegedly Involved in the Sale of Three Different Private Placements issued by People or Entities Wherein Brenner Purportedly Held Personal or Business Relationships Thomas J. Brenner, Jr., of Orville, Ohio and a broker with First American Securities, Inc. was allegedly involved in the sale of three different private placements issued by… Read more »

The Woodbridge Group— Filing for Chapter 11 Bankruptcy

Ponzi scheme recovery attorneys

Luxury Real Estate Developer Woodbridge Group of Companies Files for Bankruptcy during the Middle of an SEC Investigation; Woodbridge Has Allegedly Cited Expansion Costs, Litigation, and a Government Fraud Investigation Luxury real estate developer Woodbridge Group of Companies filed for Chapter 11 bankruptcy on Monday, citing costs of expansion, litigation and a government fraud investigation,… Read more »

Adageo Energy— Alleged Sales of Private Placement Offerings

Several Investors into Adageo Energy Have Allegedly Been Given Recommendations off Potentially Unsuitable Investments into a Number Oil and and Gas Related Ventures Have you or a loved one invested your hard-earned money into investments related to Adageo Energy? Peiffer Wolf Carr & Kane securities practice lawyers are investigating potentially unsuitable or improper investment recommendations pertaining to… Read more »

SEC Announces $1.7 Million Whistleblower Award

Cleveland stockbroker fraud lawyer

$1.7 Million Whistleblower Award Given to a Company Insider who Provided the SEC with Crucial Information to Assist in Preventing a Fraud Which Might have Been Very Hard to Detect Otherwise The Securities and Exchange Commission announced a whistleblower award on July 27th of more than $1.7 million to a company insider who provided said… Read more »

Sylvester King Jr.— Alleged Sales of Undisclosed Securities Actions and Selling Away

investment fraud attorney Cleveland

Sylvester King Jr. Allegedly Sold over $5 Million Unregistered, Illiquid Securities to Certain Professional Athletes and Investment Advisory Clients in an Internet Branding Company Known as Global Village Concerns, Inc. or GVC Sylvester King Jr., starting in 2009 and continuing into 2012, allegedly participated in sales of over $5 million of unregistered, illiquid securities to… Read more »

Victor Dandridge — Alleged Diversion of Customer Funds

California stockbroker fraud attorney

Victor M. Dandridge III Allegedly Diverted Customer Funds to Accounts at His Member Firm to Accounts and Businesses He Controlled Victor Dandridge allegedly diverted customer funds from accounts held at his member firm to accounts and businesses that he controlled, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by… Read more »

Robert Hoffmann — Alleged Unsuitable Trading Recommendations & Unauthorized Transactions

Rochester stockbroker fraud attorney

Robert H. Hoffmann Allegedly Engaged in Unsuitable Trading Recommendations, Unauthorized Transactions, Excessive Trading, and Private Securities Transactions Robert Hoffmann, who was registered with Woodbury Financial Services in Greenwood, Indiana from July 2006 through March 2017, allegedly engaged in potential unsuitable recommendations, unauthorized transactions, excessive trading, and private securities transactions, according to a recent Letter of Acceptance,… Read more »

Jerry Lou Guttman — Private Securities Transactions

Jerry Lou Guttman Allegedly Sold over $7,000,000 worth of Membership Interests in at Least Six Different Limited Liability Companies to 31 Firm Customers and Seven Non-customers without First Disclosing the Sales to United Planners Jerry Lou Guttman, from September 2008 through May 2017, allegedly sold more than $7 million worth of membership interests in at… Read more »