Category: Fraud Articles
Were you the victim of the Woodbridge Group of Companies scheme? The Woodbridge Group of Companies was a southern California luxury real estate developer. It is alleged that unregistered brokers sold unregistered securities in the purchase and sale of securities. … Continue reading
In January 2019, The Securities and Exchange Commission (SEC) filed charges against Phillip Carter, a resident of Texas and real estate developer, as well as Bobby Guess (CRD# 1135068) and Richard Tilford and related entities for conducting a multi-million dollar … Continue reading
In January 2019, a former client of Quest Capital Strategies, Inc. won an award in a FINRA arbitration for compensatory damages for $235,000 in compensatory damages and $41,226.46 in costs for losses sustained from investments in promissory notes of the … Continue reading
In January 2019, two former clients of Capitol Securities Management, Inc. won an award in a FINRA arbitration for compensatory damages for a total of $2.38 million for losses sustained from excessive trading, unauthorized fund transfers and withdrawals, and fraud. … Continue reading
In January 2019, a former client of Quest Capital Strategies, Inc. won an award in a FINRA arbitration for compensatory damages for $235,000 and $41,226.46 in costs for losses sustained from investments in promissory notes of the Woodbridge Mortgage Investment … Continue reading
Did you lose money investing with Summit Brokerage Services, Inc. broker Victor Rigoni III (CRD# 4272056)?. Rigoni has been registered with Cetera Advisor Networks LLC in Lake Forest, Illinois since September 2019. Previously, Rigoni was registered with Summit Brokerage Services, … Continue reading
Former Des Pain Financial Corporation financial advisor Jay Weiser (CRD# 1511042) is accused of mismanagement retirement assets in unsuitable Woodbridge Promissory Notes and Future Income Payments, LLC. Weiser was registered with Des Pain Financial Corporation in Collinsville, Illinois from 2000 … Continue reading
Former Capital Financial Services, Inc. financial advisor Sean Kelly (CRD# 2294170) is accused of orchestrating $1 million Lion’s Share fraud. Kelly was registered with Center Street Securities, Inc. in Marietta, Georgia from August 2017 to October 2018. Previously, Kelly was … Continue reading
There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011. Ebrahimi has been the … Continue reading
Have you suffered investment losses due to former Mutual Securities, Inc. financial advisor Gary Pevey (CRD# 2129469)? Pevey has been registered with Mutual Securities, Inc. in Sacramento, California from 2011 to February 2018, when he was terminated regarding, “Violation of … Continue reading