David Michael Miller Accused of Recommending and Selling Unsuitable Investments in Unit Investment Trusts (UIT’s)

David Michael Miller Allegedly Lacked a Reasonable Basis for Recommending UIT Investments David Michael Miller allegedly recommended 141 UIT purchases between August 2012 and May 2013, totaling approximately $5.4 million in 129 customer accounts, according to the complaint filed by the Financial Regulatory Authority’s (FINRA) Department of Enforcement, and currently under review by the investment… Read more »

Michael Oppenheim Investigated by Peiffer Wolf Carr & Kane Attorneys

Investment fraud lawyers

Michael Oppenheim Entered a Plea of Guilty to Embezzlement and Securities Fraud Michael Oppenheim entered a plea of guilty to one count of embezzlement and one count of securities fraud in Manhattan’s Southern District Court on November 5, 2015. Oppenheim faces up to 30 years in prison when he is sentenced in February 2016. Oppenheimer was… Read more »

David D. Lewis– Failure to Establish, Maintain and Enforce Adequate Supervisory System and Written Supervisory Procedures

David D. Lewis Allegedly Failed to Establish, Maintain and Enforce Adequate Supervisory System and Written Supervisory Procedures David D. Lewis allegedly failed to establish, maintain and enforce adequate supervisory system and written supervisory procedures, according to a recent Complaint from FINRA’s Department of Enforcement. Said Complaint goes on to allege that Lewis, from March 2008… Read more »

John J. Kolinofsky—Failure to Adequately Supervise Reps

Rochester stockbroker fraud attorney

John J. Kolinofsky Allegedly Failed to Supervise Reps Who Purportedly Participated in the Sale of Approximately $1.72 million of Preferred Shares Issued by Biopharm BioChemics Inc. John J. Kolinofsky allegedly failed to supervise reps who purportedly participated in the sale of approximately $1.72 million of preferred shares issued by biopharm company BioChemics Inc., according to… Read more »

Kevin Hagan and Richard Bohack, Global Arena Capital Corp.—Failure to Properly Perform Supervisory Responsibilities

Ponzi scheme attorneys

Kevin Hagan and Richard Bohack, of Global Arena Capital, Allegedly Failed to Properly Perform Supervisory Responsibilities Kevin Hagan and Richard Bohack, of Global Arena Capital, allegedly failed to properly perform supervisory responsibilities, according to FINRA Documents presently being reviewed by attorneys Jason Kane and Joe Peiffer. Hagan, from April 14, 2014 to June 5, 2015,… Read more »

Glenn Allen Moffitt—Failure to Appear for On-the-Record Testimony

investor rights lawyers

Glenn Allen Moffitt Allegedly Converted at Least $370,000 from an Elderly Customer Glenn Allen Moffitt allegedly converted at least $370,000 from an elderly customer, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). The aforementioned and alleged misconduct took place when Moffitt was working with Cambridge Investment Research, Inc in Henderson, Nevada. … Read more »

Cobb and Worrell—Private Securities Transactions

Charles Robert Cobb and Curtis Michael Worrell Allegedly Participated in Five Private Securities Transactions Charles Robert Cobb and Curtis Michael Worrell allegedly participated in five private securities transactions without providing prior notice to their broker-dealer, Madison Avenue Securities, Inc., according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Jason Kane… Read more »

Brantly Chavis— Conversion of Customer Funds

Brantly Chavis Allegedly Converted at Least $25,000 from a OneAmerica Customer Brantly Chavis allegedly converted at least $25,000 for a OneAmerica customer, according to a recent FIRNA Letter of Acceptance, Waiver and Consent currently under review by attorneys Jason Kane and Joe Peiffer. Furthermore, Chavis allegedly converted said funds from an outside business activity known… Read more »

Michael Jump—Misrepresented Fees Associated with Variable Annuities He Was Selling

investment fraud lawyers

Michael Jump Allegedly Misrepresented Fees Associated with Variable Annuities Which He Sold Michael Jump, who was registered with Investment Planners from April 2013 to April 2014, allegedly prepared Variable Annuity Transmittal and Disclosure forms (also known as VA switch forms) in connection with 32 variable annuity transactions, according to a recent FINRA Letter of Acceptance,… Read more »

Adam Robert Bollinger—Conversion of Customer Funds

Cleveland stockbroker fraud lawyer

Adam Robert Bollinger Allegedly Converted Funds from Six Customers While at Edward D. Jones & Co., L.P.; Occasionally Obtained Funds Under Guise of Soliciting Charitable Contributions Adam Robert Bollinger, between February and December of 2014, allegedly converted $17,525 from seven individuals, six of whom were Edward D. Jones & Co., L.P customers, according to a… Read more »