Glenn Robert King—Excessive Trading of Customer Accounts

investment fraud attorney Cleveland

Glenn Robert King Allegedly Engaged in Excessive Trading of Customer Accounts and Exercised Discretion in Customer Accounts without Written Consent or Approval Glenn Robert King allegedly engaged in excessive trading of customer accounts and exercised discretion in customer accounts without written consent or approval, according to a Complaint from FINRA’s Department of Enforcement currently under… Read more »

David Joseph Escarcega – Material False and Misleading Statements

Cleveland stockbroker fraud lawyer

David Joseph Escarcega Allegedly Made Materially False and Misleading Statements in Connection with Seven Customers’ Purchases of Debentures Totaling Approximately $516,825 David Joseph Escarcega allegedly made materially false and misleading statements in connection with seven customers’ purchases of debentures totaling approximately $516,825, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan… Read more »

James Keith Cox— Recommen ding Unsuitable Annuity Transactions to a Customer

Cleveland stockbroker fraud lawyer

James Keith Cox, of Baton Rouge, Allegedly Recommended Unsuitable Annuity Transactions to a Customer and Took in $25,460 Related to the Exchange James Keith Cox, of Baton Rouge, allegedly recommended unsuitable annuity transactions to a customer and took in $25,460 in relation to the exchange, according to a recent Letter of Acceptance, Waiver and Consent… Read more »

Kim Dee Isaacson– Fraudulent Misrepresentations and Omissions of Material Facts

Rochester stockbroker fraud attorney

Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to Morgan Stanley Customers Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to Morgan Stanley customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker. Peiffer Rosca Wolf securities… Read more »

Christopher Jorgensen – Instructing a Client Not to Respond to FINRA

investment fraud attorney Cleveland

Christopher S. Jorgensen Under Investigation Regarding Allegations that His Brokerage Firm, Summit Brokerage Services, Received a Customer Complaint Alleging that Jorgenson Purportedly Directed a Customer to Not Respond to a FINRA Inquiry Christopher Jorgensen was under investigation regarding allegations that his brokerage firm, Summit Brokerage Services, purportedly received a Customer Complaint alleging that Jorgenson directed a… Read more »

David Wesley Wells—Misappropriation

California stockbroker fraud attorney

David Wesley Wells Allegedly Misappropriated Funds while Serving for the Counsel Trust Group, an Independent Contractor Office Associated with Mid Atlantic Capital Corporation David Wesley Wells, a broker from Hanover, Pennsylvania, allegedly misappropriated funds while serving for the Counsel Trust Group, an independent contractor office associated with Mid Atlantic Capital Corporation, according to a recent FINRA Letter… Read more »

Richard William Lunn Martin—Unsuitable Recommendations

Ponzi scheme attorneys

Richard William Lunn Martin Allegedly Made Recommendations for Long-term Holding, Non-traditional Exchange Traded Funds (ETF’s) to All of His Customers; Martin Allegedly Made Claims that the Global Economy was on the Precipice of Catastrophe Richard William Lunn Martin allegedly made recommendations for long-term holding, non-traditional exchange traded funds (ETF’s) to all of his customers, according to a… Read more »

Gregg Templeton—Misuse of Customer Funds

Cleveland stockbroker fraud lawyer

Gregg D. Templeton Allegedly Misused Customer Funds and Committed Other Sales Practice Violations Have you invested your hard-earned money with Gregg Templeton of New York, New York? Gregg Templeton, between July 2010 and July 2015, allegedly misused customer funds and committed other sales practice violations, according to a recent Letter of Acceptance, Waiver and Consent (AWC)… Read more »

Robert Tweed— Alleged False and Misleading Private Placement Memorandum

California stockbroker fraud attorney

Robert “Rusty” Tweed Allegedly Took in over $1.6 Million from His Retail Customers through a Purportedly False and Misleading Private Placement Memorandum Robert Tweed allegedly took in over $1.6 million from his retail customers through a purportedly false and misleading private placement memorandum (PPM), according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under… Read more »

Thomas Edward Andrews— Fraudulent Theft of Investment Funds

Ponzi scheme attorneys

Thomas Edward Andrews, Purportedly with the Known Assistance of Scott Walter Christensen, Allegedly Convinced 23 Investors to Put $8.38 million of Savings and Retirement Funds into Two Investments; Andrews Allegedly Solicited Investors, Mostly from a Small Utah Community, into Two Investments,  “the Jackson Trust” and “the Lincoln” Thomas Edward Andrews, with the knowing assistance of… Read more »