Damon Vickers— Excessive Trading and Excessive Commissions

investment fraud attorney Cleveland

Damon Vickers Allegedly Engaged in Excessive Trading and Charged Excessive Commissions Damon Vickers, a financial advisor who previously worked with Southeast Investments N.C., Inc., allegedly engaged in excessive trading and charged excessive commissions to customers, according to a Complaint from the Washington Division of Securities currently under review by attorney Joe Peiffer and Jason Kane…. Read more »

Paul Dean Garnett— Private Security Transactions and Outside Business Activity without Proper Notice

Ponzi scheme attorneys

Paul Dean Garnett Allegedly Participated in Private Security Transactions and an Outside Business Activity without Proper Prior Notice Paul Dean Garnett, from 2011 to 2013, and while associated with Edward Jones, Garnett allegedly participated in private security transactions and an outside business activity without providing the required notice to Edward Jones, according to a recent… Read more »

VIX Short Term Futures ETN (VXX) Investments: Unsuitable Sales Practices by Brokers Investigated

Unsuitable Sales Practices by Brokers Who Recommended VIX Short Term Futures ETN (VXX) Investigated by Securities Lawyers VIX Short Term Futures ETN (VXX) securities may have been inappropriately sold to some investors by certain investment professionals, the Peiffer Wolf Carr & Kane securities lawyers have learned.  VIX Short Term Futures ETN (VXX) is a highly volatile exchange-traded note,… Read more »

Xavier R. Endress- Engaged in Outside Business Activity

Xavier R. Endress Created E & H Consulting and Allegedly Engaged in Business Outside of Merrill Lynch Xavier R. Endress formerly a registered representative for Merrill Lynch, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities. Endress consented, without admitting or denying the allegations, to findings that… Read more »

Nahuel Rodriguez—Customer Fund Conversion and Willful Misrepresentation of Material Facts

Nahuel Rodriguez Allegedly Converted Customer Funds and Willfully Misrepresented material Facts Nahuel Rodriguez allegedly converted customer funds and willfully misrepresented material facts, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Joe Peiffer and Jason Kane. Nahuel Rodriguez allegedly may have engaged in wrongful conduct while he was associated with… Read more »

James Michael Johnson— Negligent Misrepresentations and Omissions with Securities Investments

investment fraud attorney Cleveland

James Michael Johnson Allegedly Made Negligent Misrepresentations and Omissions with Securities Investments Away from his Broker Dealer, Commonwealth Financial Network James Michael Johnson allegedly made a variety of negligent misrepresentations and omissions in connection with the sale of interests in West Virginia Farm Properties, L.L.C. (WVFP), a company formed to develop rural land into a… Read more »

John Scott Matthews—Participation in Private Securities Transactions without Proper Written Notice

John Scott Matthews Allegedly Sold $1.8 Million in Convertible Promissory Notes Away from Global Arena Capital and Purportedly Participated in these Private Securities Transactions without Proper Prior Written Notice John Scott Matthews allegedly sold $1.8 million in convertible promissory notes away from his member firm, Global Arena Capital, according to a recent FINRA Letter of… Read more »

Richard J. Rubin, Jr., – Engaged in Outside Business Activity

New York investor rights attorneys

Richard J., Rubin, Jr. Allegedly Participated in Real Estate Matters Involving Just Real Estate, LLC (JRE), a Business Outside of Northwestern Mutual Investment Securities, LLC Richard J. Rubin, Jr., formerly a registered representative for Northwestern Mutual, was fined $5,000 and suspended for fifteen days from associating with any Financial Industry Regulatory Authority (FINRA) member firm… Read more »

Daniel Kasbar- Engaged in Outside Business Activity and Refused to Cooperate with Investigation

Daniel Kasbar Allegedly Participated in Business Outside of HD Vest Investment Securities and LPL Financial LLC Daniel Kasbar formerly a registered representative for HD Vest Investment Services (“HD Vest”), and LPL Financial LLC (“LPL”) consented, without admitting or denying the allegations, to findings that he engaged in an outside business activity beyond the scope of approvals… Read more »

Jacob Lerman – Forged Customer Signatures and Inaccurate Statements to FINRA

Jacob Lerman Allegedly Forged Customer Signatures and Provided Inaccurate Statements to FINRA Jacob Lerman, formerly a registered representative for Univest Investments, Inc. (“Univest”) consented, without admitting or denying the allegations, to findings that he engaged in “signing a client’s name to a product sponsor application without the knowledge or consent of the client,” according to Financial… Read more »