Jeffrey Johnson — Alleged Outside Business Activity

Ponzi scheme recovery attorneys

Jeffrey M. Johnson Allegedly Failed to Notify Morgan Stanley, His Member Firm, of an Outside Business Activity and Purportedly Participated in Private Securities without Receiving Approval from the Firm Jeffrey Johnson allegedly failed to notify his member firm of an outside business activity and purportedly participated in private securities without receiving approval from the firm,… Read more »

Landon Williams – Alleged False and Misleading Statements to Customers

Landon L. Williams – Alleged False and Misleading Statements to Customers and/or Allegedly Failed to Disclose Material Information about Securities Transactions that he was Purportedly Recommending to Customers Landon Williams, between March 5, 2014 and July 23, 2014, allegedly participated in telephone conversations with customers wherein he made false and misleading statements to customers and… Read more »

David Apted – Private Securities Transactions

David Apted Allegedly Engaged in Private Securities Transactions with Two Customers who Invested over $300,000 in a Venture-capital Fund David Apted allegedly engaged in private securities transactions with two customers who invested over $300,000 in a certain venture-capital fund, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca… Read more »

Robert Baldwin Del Guercio— Alleged Sales Practice Violations

New Orleans Investment fraud attorneys

Robert Baldwin Del Guercio Allegedly Engaged in Sales Practice Violations Robert Baldwin Del Guercio, of Iselin, New Jersey, allegedly engaged in sales practice violations, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker. Investors who believe they may have lost money in activity… Read more »

Steven Meyer— Churning and Unsuitable Excessive Trading

Steven John Meyer Allegedly Engaged in Churning and Unsuitable Excessive Trading in the Accounts of Four Customers, Two of whom were Senior Citizens Steven Meyer, of Staten Island, New York, allegedly engaged in churning and unsuitable excessive trading in the accounts of four customers, two of whom were senior citizens, according to a recent Letter… Read more »

Sam Paolini — Customer Conversion

Sam Peter Paolini Allegedly Converted $7,000 from a Customer Sam Paolini allegedly converted $7,000 from a customer, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker. Investors who believe they may have lost money in activity related to Sam Paolini’s alleged customer conversion… Read more »

Jamil Ahmed— Borrowing over $5,000 from a Customer of His Member Firm

Jamil Ahmed Allegedly, on at Least Three Occasions, Allegedly Borrowed a Total of over $5,000 from a Customer of his Member firm, an Alleged Action which the Firm’s Written Procedures Specifically Prohibited Jamil Ahmed, on at least three occasions, allegedly borrowed a total of over $5,000 from a customer of his member firm, MetLife, which… Read more »

Jeffrey Lewis, of Lewis Investments in Mercer County, Allegedly Stole Nearly $300,000 from a 93-year-old Woman

Jeffrey Lewis, the sole proprietor of Lewis Investments in Mercer County, allegedly stole nearly $300,000 from a 93-year-old woman and then waived indictment and pleaded guilty to wire fraud and money laundering before U.S. District Judge David Cercone, according to reports from Mercer County. Lewis allegedly solicited the client, known only as “E.M.” in 2015… Read more »

Satya Shaw—Outside Business Activities

New Orleans Investment fraud attorneys

Satya B. Shaw Allegedly Failed to Disclose Six Outside Business Activities to Center Street Securities, Inc. Satya Shaw, of Wesley Chapel, Florida, allegedly failed to disclose six outside business activities to his employer and member firm Center Street Securities, Inc., according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by… Read more »

Jeffrey Delone– Private Securities Transactions

Jeffrey W. Delone Allegedly Engaged in Private Securities Transactions Not Disclosed to FSC Securities Corp.; Delone Allegedly Solicited Six Investors, including Three Clients of FSC Securities Corp., to Make Investments Totaling $310,000 in a Learning Center Franchise of which Delone was Purportedly Part-owner Have you or a loved one invested your hard-earned cash with Jeffrey W…. Read more »