Bart James Ellis—Investment Fraud

Rochester stockbroker fraud attorney

Bart James Ellis Allegedly Defrauded Investors out of Over $1 Million; Ellis Allegedly Claimed to be a Financial Advisor even after Losing His License Bart James Ellis, of Scottsdale, Arizona and a former financial advisor for Ameriprise and Morgan Stanley, allegedly defrauded investors out of over $1 million, according to Reports from the IRS currently… Read more »

J. Randall Gladden—Private Securities Transactions without Proper Prior Notice

California stockbroker fraud attorney

J. Randall Gladden Allegedly Participated in Private Securities Transactions without Providing Prior Written Notice J. Randall Gladden, who was associated with SEG from April 2002 until March 15, 2016, allegedly participated in private securities transactions without providing prior written notice, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan… Read more »

David Michael Miller— Unsuitable Recommendations Regarding Investment Trusts

investment fraud attorney Cleveland

David Michael Miller Allegedly Made Unsuitable Recommendations Regarding Investment Trusts David Michael Miller, a broker with Huntington National Bank in Columbus, Ohio, allegedly recommended 140 unit investment trust purchases which totaled more than $5.3 million in 129 customer accounts, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Jason Kane… Read more »

Terry L. Haggerty—Manipulative Trading Activity

Rochester stockbroker fraud attorney

Terry L. Haggerty Allegedly Engaged in Manipulative trading activity in the shares of Pacific Sands, Inc. Terry L. Haggerty allegedly engaged in manipulative trading activity in the shares of Pacific Sands, Inc., according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Jason Kane and Joe Peiffer. Terry L. Haggerty,… Read more »

Antonio Fasolino—Olive Oil Investment Scam

Cleveland stockbroker fraud lawyer

Antonio Fasolino Allegedly Cold Pressed a Slippery $3.4 Million Olive Oil Investment Scam Antonio Fasolino, of Jersey City, New Jersey, allegedly pressed investors out of more than $3 million in a dripping olive oil investment scheme, according to federal prosecutors. Antonio Fasolino claimed that his company held $33 million worth of inventory rich in golden monounsaturated… Read more »

Benjamin Wey— Reverse-Merger Fraud Scheme

Cleveland stockbroker fraud lawyer

Benjamin Wey Allegedly Brought Chinese Companies to U.S. Markets, Engaging in a Reverse-Merger Fraud Scheme Benjamin Wey allegedly brought Chinese companies to U.S. markets and purportedly engaged in a reverse-merger fraud scheme, according to Documents from a case in U.S. District Court, Southern District of New York (Manhattan) currently under review by attorneys Joe Peiffer… Read more »

Michael Peter Pacult– Adequacy of Certain Disclosures Contained in the Notice of Proposed Merger Issued to Investors

Michael Peter Pacult Investigated by FINRA Regarding the Alleged Adequacy of Certain Disclosures Contained in the Notice of Proposed Merger Issued to Investors Michael Peter Pacult was investigated by FINRA regarding the Alleged Adequacy of Certain Disclosures Contained in the Notice of Proposed Merger Issued to Investors, according to a FINRA Letter of Acceptance, Waiver… Read more »

William R. Hambrecht— Outside Business Activity

William R. Hambrecht Allegedly Failed to Disclose Eight Unsatisfied Judgments in a Timely Fashion Relating to Outside Businesses Totaling Approximately $22.5 Million William R. Hambrecht allegedly willfully failed to amend his Form U4 in order to timely disclose eight unsatisfied judgments, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). Said judgments… Read more »

David Paul Eller—Undisclosed Outside Business Activities

David Paul Eller Allegedly Engaged in Outside Business Activities; Hired Wells Fargo but Did Not Disclose On-Going Association with WTS Proprietary Trading David Paul Eller allegedly engaged in several outside business activities without notifying his broker dealer, WTS Proprietary Trading, according to a recent Complaint from FINRA’s Department of Enforcement. Eller, for example, from November… Read more »

Wayne Anthony Schultz– Failure to Provide Information and Documents

investment fraud attorney Cleveland

Wayne Anthony Schultz Suspended by FINRA for Failing to Provide Documents Connected with Sale of Notes to Elderly Client Wayne Anthony Schultz allegedly failed to provide information and documents as requested during the course of a FINRA investigation into certain notes that Schultz had issued to an elderly client, according to a recent Letter of Acceptance, Waiver… Read more »