Jonathan Cooke & Keystone Capital— Alleged Investment Scheme to Defraud U.S. Federal Employees

Former LPL Broker Jonathan Cooke, as a Member of Keystone Capital Partners, Allegedly Defrauded 200 Federal Staff Members; Cooke and Keystone Purportedly Rolled over $40 Million of Thrift Savings Plan Pension Funds into Expense Annuities, the SEC has Stated Jonathan Cooke, 34 and of Atlanta, Georgia, and a former LPL Financial broker, allegedly misguided a… Read more »

Anthony Vincent Ferrone—Unsuitable Trading of Unit Investment Trusts in Client Accounts

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Anthony Vincent Ferrone Allegedly Engaged in Unsuitable Trading of Unit Investment Trusts in Client Accounts Anthony Vincent Ferrone, of Manwah, New Jersey, allegedly took part in Unsuitable Trading of Unit Investment Trusts in Customer Accounts, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Jason Kane and James… Read more »

Keystone Capital Partners, Inc.— Allegedly Defrauding Federal Employees

Former LPL Brokers, under the Banner of an Entity Called Keystone Capital Partners, Allegedly Defrauded 200 Federal Employees by Purportedly Rolling over $40 Million of Pension Funds into Expense Annuities, the SEC Reports Between approximately March 2012 and November 2014, an entity known as Keystone Capital Partners’ allegedly fraudulently induced federal employees to rollover significant… Read more »

Christopher Laws & Keystone Capital— Alleged Fraud Scheme to Defraud Federal Employees

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Christopher Laws, as Part of an Entity Called Keystone Capital Partners, Allegedly Implemented a Fraud Scheme which Defrauded 200 Federal Staff Members; Laws and Keystone Purportedly Moved over $40 Million of Thrift Savings Plan Pension Funds into Expense Annuities, the SEC Reports A former financial consultant, Christopher S. Laws, allegedly misguided a number of federal… Read more »

Paul Taboada— Alleged Misappropriation of Investor Funds and Securities

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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

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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

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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

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$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 »