Atlanta-Based Paul Marshall Allegedly Misappropriated Client Funds

New Orleans Investment fraud attorneys

Paul Marshall, a state-registered investment adviser representative who owned and controlled three Atlanta-based companies: Bridge Securities, LLC, Bridge Equity, Inc. and FOGFuels, Inc., was charged by the Securities and Exchange Commission (SEC) on September 11, 2013 with misappropriating $2 million in client assets, a statement from the SEC alleges. The SEC further alleges that Marshall… Read more »

Joseph T. Pappalardo Reportedly Banned for Misleading Representations of Coast2 Coast

New Orleans investment fraud attorney

Joseph T. Pappalardo, formerly of Financial Network Investment Corp (now Cetera Advisor Networks LLC), made fraudulent and misleading representations to customers regarding the sale of  private securities, a FINRA Letter of Acceptance, Waiver and Consent (AWC) alleges. Between August 2008 and August 2012, the AWC further alleges, Pappalardo failed to divulge to his then employer… Read more »

FINRA Files Complaint Against SWS Financial over Improper Variable Annuity Sales

Investment fraud lawyers

On September 29, 2014, FINRA’s Department of Enforcement filed a complaint against SWS Financial Services, Inc., which alleged that, from September 2009 to May 2011, SWS had inadequate supervisory systems as well as written supervisory procedures to supervise sales of variable annuities (VAs).  The five FINRA charges levied against SWS,  headquartered in Dallas, TX,  and… Read more »