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Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on August 14, 2018 indicate that the SEC has obtained an emergency asset freeze, a temporary restraining order, and a preliminary injunction to halt an “ongoing offering fraud” carried out by three entities: Marianne Sandor; Edward Porazzo; her husband; and Moddha Interactive, […]

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Public records published by the Securities and Exchange Commission (SEC) on July 24, 2018 indicate that New York-based entrepreneur William McFarland—as well as two companies he founded, a former executive of those countries, and a former contractor—have agreed to settle SEC charges in connection to an alleged $27.4 million offering fraud. Fitapelli Kurta is interested […]

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2018 indicate that Iowa-based Commonwealth Financial Network broker/adviser Michael Hefner has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hefner (CRD# 2949943). Michael Hefner has spent 20 […]

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Publicly available records published by the Securities and Exchange Commission (SEC) on July 19, 2018 indicate that the SEC has charged Bhushan Dandawate with aiding and abetting a fraud committed by three entities—Quadrant 4 System Corporation, Nandu Thondavadi, and Dhru Desai—by “falsely claiming in bank documents that he controlled ten entities that were, in reality, […]

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Publicly available records published by the Securities and Exchange Commission (SEC) on April 30, 2018 indicate that the US District Court for the District of Massachusetts has entered a default judgment in an SEC enforcement action against Christopher Esposito, owner and managing director of Lionshare Ventures LLC, in connection to allegation that the company participated […]

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Northstar Healthcare Income REIT, a public, non-traded real estate investment trust, has recently suspended its distributions, according to filings made with the Securities and Exchange Commission. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Northstar Healthcare Income REIT. According to the company’s website, Northstar Healthcare is a public, […]

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Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Future Income Payments through two brokerage firms: Foresters Equity Services (CRD# 18464) and NYLife Securities (CRD# 5167). Future Income Payments is a Delaware LLC that has recently been the subject of regulatory and civil actions in connection to allegations its […]

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 13, 2018 indicate that former Texas-based Sunbelt Securities broker/adviser James Tao has been sanctioned by the Securities and Exchange Commission (SEC) and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in […]

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 9, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser John Tsoukalas has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tsoukalas (CRD# 4428102). John Tsoukalas has spent 17 years […]

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 9, 2018 indicate that Illinois-based brokerage firm Cetera Financial Specialists has been sanctioned in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Cetera Financial Specialists (CRD# 10358). Founded in 2012, Cetera […]