Justin K. Wine – Private Securities Transactions

Justin K. Wine Allegedly Engaged in a Private Securities Transaction with DS, a Micro-loan Company Based in the British Virgin Islands

Justin K. Wine allegedly engaged in a private securities transaction with DS, a micro-loan company based in the British Virgin Islands, ), according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Wine allegedly introduced and recommended an investment in DS to three of his LPL Financial customers, without providing prior written notice to LPL, one of whom ultimately invested in DS, said AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Justin K. Wine’s alleged private securities transaction.

Justin K. Wine Suspended Two Months and Fined $12,500 by FINRA; Allegedly Engaged in Outside Business Activities with TDC, an Event Creation Firm

Justin K. Wine also allegedly engaged in outside business activities with TDC, an event creation and production company that organizes and produces an annual food festival in Washington D.C., according to the aforementioned AWC being examined by attorneys Alan Rosca and James Booker.

Wine also allegedly assisted TDC in its attempts to secure a small business loan or alternative funding, the AWC notes. As a result of the aforementioned behavior, Wine violated FINRA Rules and hence, has been suspended for two months and fined $12,500 by FINRA, the AWC reports.

One should also note that, according to the AWC, Justin K. Wine neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged private securities transactions and are currently investigating Justin K. Wine’s alleged engagement in a private securities transaction. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Justin K. Wine’s alleged engagement in a private securities transaction are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.