Vito Balsamo – Broker – Unapproved Private Securities Transactions

Vito Balsamo Allegedly Engaged in Private Securities Transactions without Proper Prior Written Approval from National Securities Vito Balsamo allegedly engaged in private securities transactions without adequate proper written approval from National Securities, according to a Complaint from FINRA’s Department of Enforcement. Precisely, the Complaint further alleges, Balsamo allegedly sold ownership interests into a company called… Read more »

Jia Cai Lewin Allegedly Engaged in Outside Business Activities, Recommending Customers Invest $6 Million into Three Chinese Pharmaceutical-related Companies

Rochester stockbroker fraud attorney

Between January 2010 and October 2010, Jia Cai Lewin, formerly a General Securities Representative of J.P. Morgan Securities LLC (JPM), participated in private securities transactions by soliciting at least one J.P. Morgan customer to invest in three Chinese pharmaceutical-related companies without JPM’s knowledge or approval, according to a recent FINRA Letter of Acceptance, Waiver and… Read more »

Former CFS Rep Patrick Richard Harrison Allegedly Participated in Private Securities Transactions Without Prior Notice to CFS, Making Material Misstatements and Omissions to Investors

Investment fraud attorneys

Patrick Richard Harrison was barred by FINRA for allegedly engaging in private securities transactions and making misrepresentations to customers regarding said transactions, resulting in a $300k loss for the customers, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). As a result of the aforementioned alleged material misstatements and omissions to investors, Harrison,… Read more »

Steven McCraw Accused of Aiding and Abetting Kevin White’s and KGW Capital Management’s Fraudulent Scheme Involving Revelation Forex Fund

New Orleans stockbroker fraud lawyer

Steven M. McCraw is accused of aiding and abetting a fraudulent foreign currency exchange (“forex”) trading scheme, according to a complaint filed by the Securities and Exchange Commission (“SEC”). The Peiffer Rosca securities practice attorneys Alan Rosca and Joe Peiffer are investigating the matter. McCraw provided substantial assistance to Kevin G. White and his company,… Read more »

James McKee, Who Allegedly Defrauded an 81-Year-Old Retiree and a Church, Pleads Guilty to Theft Charges

James Scott McKee pled guilty to charges arising from allegations that McKee committed investment fraud. The Peiffer Rosca law firm’s securities practice attorneys Alan Rosca and Joe Peiffer are already pursuing claims arising from McKee’s alleged investment fraud and are continuing to investigate the matter. McKee, from approximately February 2006 through September 2011, defrauded brokerage customers… Read more »