Category: Fraud Articles
In June 2019, The Securities and Exchange Commission (SEC) filed charges against Paul Rinfret (CRD# 805117) and Plandome Partners LLC, an investment partnership, for defrauding investors of more than $19.3 million. According to the SEC complaint, “For over five years, … Continue reading
Erez Law is currently investigating former Independent Financial Group, LLC broker Jeffrey Schwebach (CRD# 1606537) regarding Woodbridge Group of Companies losses. Schwebach was registered with Independent Financial Group, LLC in Dell Rapids, South Dakota from 2010 to 2018, when he … Continue reading
Erez Law is currently investigating Cetera Investment Services LLC broker Chang Vung (CRD# 5347816) regarding real estate securities losses. Vung has been registered with Cetera Investment Services LLC in Flushing, New York since 2007. Vung has been the subject of … Continue reading
In March 2019, a former client of CoreCap Investments, Inc. won an award in a FINRA arbitration for $1,161,333, which included compensatory damages of $699,000, $72,720 in prejudgment interest, $118,573 in attorney fees, $15,000 in costs and the $300 filing … Continue reading
In April 2019, the Securities and Exchange Commission (SEC) charged the Woodbridge Group of Companies execs with criminal fraud. Woodbridge Group of Companies former owner and CEO Robert Shapiro, as well as directors Ivan Acevedo and Dane Roseman were arrested … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former HD Vest Investment Services financial advisor Jerry Raines (CRD# 4578689), who is alleged to recommend his client invest in Woodbridge Group of … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Hornor, Townsend & Kent, Inc. financial advisor Thomas Sova (CRD# 431135) regarding Woodbridge Group of Companies losses. Sova was registered with Hornor, … Continue reading
Erez Law is currently investigating Westport Capital Markets, LLC financial advisor Christopher McClure (CRD# 2289844) regarding excess fees. McClure has been registered with Westport Capital Markets, LLC in Westport, Connecticut since 2001. In November 2017, The Securities and Exchange Commission … Continue reading
In February 2019, FINRA former Merrill Lynch, Pierce, Fenner & Smith financial advisor Thomas Buck (CRD# 1024868) to 40 months in prison following a guilty plea to one count of securities fraud in October 2017. Buck was registered with RBC … Continue reading
Erez Law is currently investigating former Ameritas Investment Corp. financial advisor Kristian Gaudet (CRD# 4190811) regarding fraudulent activities that allegedly involved using client funds for personal use. Gaudet was registered with Ameritas Investment Corp. in Cut Off, Louisiana from 2003 … Continue reading