SEC Charges John A. Geringer in Alleged $60 Million Ponzi Scheme

Investment fraud attorneys

John A. Geringer, of Scotts Valley, California, has been charged by The Securities and Exchange Commission (SEC) with running an alleged $60 million investment fund in Ponzi scheme fashion, and also with defrauding investors by trumpeting fictitious trading profits, instead of reporting the cold hard facts, and the actual trading losses which had been incurred… Read more »

Thomas N. Charbonneau Allegedly Sold Penny Stocks from Own Personal Account; Barred from FINRA

On September 19, 2014, Thomas N. Charbonneau, formerly of Berthel, Fisher & Co. and Feltl & Co., was disciplined by FINRA in connection with multiple instances of professional misconduct, including soliciting clients to purchase a valueless penny stock named X Corp, while simultaneously selling off shares in the same company, a FINRA Letter of Acceptance,… Read more »