Peiffer Wolf Investigating Columbus’s Cox, Financial Advisor Charged with Alleged Mail, Wire Fraud

investment fraud attorney Cleveland

The Peiffer Wolf investment recovery lawyers are currently investigating Jason W. Cox, 39, and of Dublin, Ohio. Cox has been charged by a federal grand jury with allegedly structuring cash withdrawal transactions, and with mail and wire fraud in an indictment returned in Columbus, according to court reports currently being reviewed by attorneys James Booker… Read more »

Jeffrey Noard Allegedly Made Unsuitable Recommendations Re: GWG Renewed Debentures

New Orleans investment fraud attorney

Did you invest in GWG Renewable Secured Debentures? The Peiffer Wolf investment recovery attorneys are currently probing Jeffrey Noard, a financial advisor from Milwaukee, Wisconsin, and his alleged involvement in the sale of GWG Renewable Secured Debentures. Back in June of 2012 Jeffrey Noard, who was registered with Allied Beacon from February 2011 to June… Read more »

Former Aegis Capital Broker Malcolm Segal Allegedly Transferred Funds into Own Account

New York investor rights attorney

Malcolm Segal, of Langhorne, Pennsylvania and Boynton Beach, Florida, is under scrutiny for after complaints from a Pennsylvania-based alleging that $225,000 was transferred from his account without his authorization, according to recent FINRA reports. Segal, reportedly terminated by Aegis on July 28, 2014, after reports of a FINRA investigation regarding a customer complaint alleging that… Read more »

Hoover, Alabama’s Bryan W. Anderson Charged in Alleged $3 million Ponzi scheme

Cleveland stockbroker fraud lawyer

Hoover, Alabama’s Bryan W. Anderson was charged on December 29 with alleged fraud and money laundering in connection with an illegal Ponzi scheme in which investors reportedly lost more than $3 million, according to reports from federal and Alabama officials which are currently being reviewed by attorneys Joe Peiffer and Jason Kane. The Peiffer Wolf… Read more »

James Mark McLaughlin Barred for Allegedly Endorsing Unsuitable Short-Term Trades, Unauthorized Trading

Rochester stockbroker fraud attorney

From October 2010 through October 2012 James Mark McLaughlin allegedly engaged in excessive trading in four customers’ accounts in violation of NASD and FINRA Rules, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). Meanwhile, McLaughlin also allegedly recommended unsuitable short-term trading of A-share mutual funds in four customers’ accounts in violation… Read more »

First American Censured and Fined: Allegedly Failed to Establish and Maintain Supervisory Procedures Regarding Non-traditional ETF’s

New York investor rights attorney

First American, headquartered in Orrville, Ohio, has been charged by FINRA with failure to establish and maintain an adequate supervisory system for non-traditional exchange-traded funds (ETFs). Therefore, according to the aforementioned AWC, FINRA censured First American and also fined it $10,000. FA, a registered FINRA-member since 1994 and with approximately 22 registered representatives operated its… Read more »

Peiffer Wolf Investigating Frederick Mitchell “Mitch” McNab; the Former Houston County Attorney Pleaded Guilty to Misappropriating Worth of $10.5 million of Client Funds

Rochester stockbroker fraud attorney

The Peiffer Wolf investment recovery lawyers are currently investigating Frederick Mitchell “Mitch” McNab, a former Houston County attorney who entered a mid-December guilty plea to misappropriating and misusing over ten million dollars of client funds, according to the Alabama Securities Commission. McNabb pleaded guilty to 55 criminal charges in Houston County Circuit Court including 30… Read more »

F-Squared and Former CEO Howard Present Made False Performance Claims, SEC Alleges; Firm Settles Case, Paying Out $35 Million and Admitting Wrongdoing

Rochester stockbroker fraud attorney

On December 22, 2014, F-Squared Investments agreed to shell out $35 million, and also admitted its wrongdoing, in order to settle SEC charges that it allegedly defrauded investors through a false and misleading advertising campaign regarding the performance of its flagship product, according to SEC documents currently being analyzed by attorneys Joe Peiffer and Jason… Read more »

Roanoke Investment Broker Donna Tucker Sentenced for Alleged Fraud

New Orleans Investment fraud attorneys

The Peiffer Wolf investor rights lawyers are currently investigating Roanoke investment broker Donna Tucker, and planning to assist any investors who believe they have lost money as a result of her alleged fraud. On December 22, a federal judge sentenced a Donna Tucker, 59, based on evidence that she sought to reprise the role of… Read more »

Ted Wayne Cadwallader Barred: Allegedly Failed to Comply with FINRA’s Investigation Regarding Alleged Undisclosed Business Activity

New York investor rights attorneys

In November of 2014, Ted Wayne Cadwallader, previously associated with Ameriprise, allegedly failed to cooperate with a FINRA investigation by refusing to appear for “on-the-record testimony” requested pursuant to FINRA Rules, in connection with an investigation involving potential issues related to private securities transactions and outside business activity disclosures according to a FINRA Letter of… Read more »