Halen Capital Management Inc.– Sale of Unregistered Common Stock

Halen Capital Management Inc. Allegedly Participated in the Sale of Unregistered Common Halen Capital Management Inc., from June 2010 through December 2013, allegedly participated in the sale of unregistered common stock offered by Atlas Federal Holdings Corp., now known as AtlasBanc Holding Corp., according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC)…. Read more »

George Dahl—Outside Business Activity

George Dahl Allegedly Engaged in an Outside Business Activity without Providing Written Notice and Executed Two Unauthorized Trades in a Customer’s Account George Dahl allegedly engaged in an outside business activity without providing written notice to Newport Coast Securities, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). George Dahl also allegedly executed… Read more »

American Portfolios—Unsuitable Mutual Fund Switching

American Portfolios Allegedly Engaged in 78 Unsuitable Mutual Fund Switching Transactions in 15 Accounts American Portfolios, from May of 2011 through May of 2013, allegedly engaged in 78 unsuitable mutual fund switching transactions in 15 accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca… Read more »

Sunil Sharma—Ponzi Scheme

California stockbroker fraud attorney

Sunil Sharma Allegedly Operated a $6 Million Ponzi Scheme, Raising $8.36 Million from 32 Investors with Risky Day-Trading Strategy Sunil Sharma, 68, allegedly operated a $6 million Ponzi scheme, according to Court Reports from San Diego, California. The Court Reports go on to detail how Sharma allegedly, between 2008 and 2014, raised $8.36 million from… Read more »

Next Financial Group, Inc.—Failure to Apply Sales Charge Discounts

Next Financial Group, Inc. Allegedly Failed to Apply Sales Charge Discounts to 696 Eligible UIT Purchases Leading to Excessive Sales Charges of Approximately $192,089.54 for Customers Next Financial Group, Inc. allegedly failed to apply sales charge discounts to 696 eligible UIT purchases resulting in customers paying excessive sales charges of approximately $192,089.54, according to a recent FINRA… Read more »

Edward Durante and VGTel— Financial Fraud

New York investor rights attorneys

Edward Durante, Working Behind Bars, Allegedly Orchestrated a $14 Million Investment Fraud Edward Durante, while operating from prison, managed to allegedly operate a $14 million investment fraud which took money from at least 100 investors, according to an SEC Complaint currently under review by attorneys Joe Peiffer and Alan Rosca. Edward Durante, 63, of New… Read more »