Woodbridge Mortgage Investment Fund—Sale of Securities by Unregistered Brokers

Cleveland stockbroker fraud lawyer

Woodbridge Mortgage Investment Fund Allegedly Engaged in the Offer and Sale of Unregistered Securities, the Sale of Securities by Unregistered Brokers, and the Commission of Fraud in Connection with the Offer, Purchase, and Sale of Securities Woodbridge Mortgage Investment Fund, of Sherman Oaks, California, allegedly engaged in the offer and sale of unregistered securities, the sale of… Read more »

Gopi Vungarala — Alleged Investment Fraud

Rochester stockbroker fraud attorney

Gopi Krishna Vungarala Allegedly Induced a Native American Tribe to Invest Hundreds of Millions of Dollars in Non-traded Real Estate Investment Trusts and Business Development Companies, without Disclosing that He and His Firm Took Commissions on the Sales Gopi Vungarala, from at least June 2011 through January 2015, and through his firm, PKS, allegedly regularly lied to his customer, known… Read more »

Jay Costa Kelter— Investment Fraud

Ponzi scheme attorneys

Jay Costa Kelter, a Former Investment Advisor and Formerly Known as Ignatius J. Costa, III, Allegedly Defrauded an Elderly Brentwood Woman out of $1.4 Million Jay Costa Kelter, 48, and formerly known as Ignatius J. Costa, III, allegedly defrauded an Elderly Brentwood out of about $1.4 million, according to Court Documents from the U.S. Attorney’s… Read more »

David Albert Ross — Accepting Customer Loans without Disclosure & Undisclosed Outside Business Activities

David Albert Ross Allegedly Accepted Customer Loans, Totaling $89,000, without Disclosure and also Allegedly Engaged in Two Undisclosed Outside Business Activities David Albert Ross, beginning in 2008 and up to his termination in 2016, and during his employment with two member firms (Signator Investors, Inc. and Woodbury Financial Services, Inc.), allegedly engaged in a pattern… Read more »

Steven Simmons— Ponzi Scheme

New Orleans investment fraud attorney

Steven Simmons Recently Pleaded Guilty to One Alleged Count of Conspiracy after Being Charged in an Alleged $81 Million “Hamilton” Ponzi Scheme Steven Simmons, 48, of Wilton, Connecticut, was charged in January in an alleged $81 million “Hamilton” Ponzi scheme and subsequently pleaded guilty Monday to one count of conspiracy, according to Court Reports from a… Read more »

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 Jason Kane… 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 Jason Kane and James Booker. Investors who believe they may have lost money in activity related to Sam Paolini’s alleged customer conversion… Read more »