Craig Lewis — Alleged Undisclosed Business Activity

Craig Edward Lewis May Have Allegedly Engaged in Undisclosed Outside Business Activity by Making Sales of Equity Indexed Annuities through a Third-party Life Insurance Firm to Many Customers of His Member Firm Craig Lewis, a former Valic broker, allegedly engaged in undisclosed outside business activity by making sales of equity indexed annuities via a third-party… Read more »

David Lee Reynolds — Alleged Misappropriation of Customer Funds

David Lee Reynolds Allegedly Misappropriated Customer Funds as Reported on an Amended Form U5 by his Former Member Firm David Lee Reynolds allegedly misappropriated customer funds reported on an amended Form U5 by his former member firm, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca… Read more »

Paul Smith — Investment Advisory Fraud

Paul W. Smith, an Ex-broker, Allegedly Operated a Decades Long Investment Advisory Fraud Raising Approximately $2.35 Million from Roughly 30 Investors; Smith Allegedly Claimed He would Invest in Securities but then Purportedly Used the Money for Personal Use or to Repay other Investors Ex-broker Paul Smith, from 1991 to 2016, allegedly raised approximately $2.35 million… Read more »

Woodbridge Group & Robert Shapiro — Alleged Ponzi Scheme

SEC Sues Woodbridge Group, Robert Shapiro for Allegedly Operating $1.2 Billion Ponzi Scheme which Purportedly Targeted Main Street Investors The U.S. Securities and Exchange Commission recently announced charges and an asset freeze against Woodbridge Group and Robert Shapiro who allegedly operated a $1.2 billion Ponzi scheme that purportedly bilked thousands of retail investors, according to an SEC Complaint currently under review by attorneys… Read more »

Brian Royster — Allegedly Borrowing Money from Clients

Brian Royster, a Former H.D. Vest Broker, Allegedly Borrowed Money from Clients Brian Royster, a former H.D. Vest broker, allegedly borrowed money from clients, 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 »

Peter Doyle — Conduct that Led to Termination

Cleveland stockbroker fraud lawyer

Peter J. Doyle Allegedly Engaged in Conduct that Led to His Termination from Morgan Stanley Have you or a loved one invested your hard-earned cash with Peter Doyle, formerly of Morgan Stanley? Peter Doyle allegedly engaged in conduct that led to his termination from Morgan Stanley, according to a recent Letter of Acceptance, Waiver and Consent (AWC)… Read more »

Zachary Berkey and Daniel Fischer of Four Points Capital Partners — Alleged Investment Fraud, Charges of Excessive Trading

Zachary S. Berkey and Daniel T. Fischer, Formerly of Four Points Capital Partners, Allegedly Operated a Fraud Scheme which Was Profitable for the Brokers but Costly for Customers; The SEC Announces Continued Efforts to Crackdown on Brokers whom Allegedly Defraud Customers Zachary S. Berkey of Centerreach, New York, and Daniel T. Fischer of Greenwich, Connecticut, allegedly conducted so-called… Read more »

Eric Erb — Alleged Investment Fraud Scheme

Eric Erb Allegedly Operated a $3 Million Fraud Scheme Purportedly Intended to Defraud Investors through his Babylon-based Investment Advisory Firm; Erb Allegedly Solicited Almost $5.4 Million from Investors Eric Erb, a former investment adviser from Levittown, New York, allegedly stole $3 million from investors as part of a wire fraud scheme, according to Reports from… Read more »

Russell Newton — Potential Securities Law Violations

California stockbroker fraud attorney

Russell W. Newton Allegedly Engaged in Potential Securities Law Violations Russell Newton allegedly took part in potential securities law violations, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Investors who believe they may have lost money in activity related to Russell Newton’s alleged participation in… Read more »

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

investment fraud attorney Cleveland

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 Alan Rosca and James… Read more »