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Articles Tagged with Ponzi scheme

Peter Wittman (CRD#: 4995877), a previously registered broker and current registered investment adviser (RIA) with Redhawk Wealth Advisors, Inc. (CRD#: 146616) in Franklin, Tennessee, is currently involved in a customer dispute over unregistered Woodbridge securities, according to his Investment Adviser Public Disclosure (IAPD) record accessed on May 6, 2020. On February 21, 2020, a customer […]

Marc Linsky (CRD#: 1450006), a registered representative with ProEquities, Inc. (CRD#: 15708) in Marlton, New Jersey, is currently involved in a customer dispute in which a client alleges that Marc Linsky’s recommendation of GPB Automotive Holdings was negligent, according to Marc Linsky’s BrokerCheck record accessed on February 24, 2020. On January 21, 2020, a client […]

The SEC has filed a complaint in the U.S. District Court for the Middle District of Florida alleging that EquiAlt LLC, EquiAlt’s CEO, Brian Davison of Tampa, Florida, and EquiAlt’s Managing Director, Barry Rybicki, raised more than $170 million from at least 1,100 investors as part of a fraudulent unregistered securities offering.  Brian Davison formed […]

On October 21, 2019, Ronald Roach (CRD#: 3216784) pled guilty to two felonies: conspiracy to commit wire fraud, as well as violations of Section 17(a) of the Securities Act, in conjunction with his involvement in a massive Ponzi scheme, according to his BrokerCheck record accessed on December 18, 2019 He entered his plea before the […]

On October 21, 2019, Ronald Roach (CRD#: 3216784) pled guilty to two felonies: conspiracy to commit wire fraud, as well as violations of Section 17(a) of the Securities Act, in conjunction with his involvement in a massive Ponzi scheme, according to his BrokerCheck record accessed on December 18, 2019 He entered his plea before the […]

Joel Flanigan (CRD#: 5664958), formerly a registered representative with NYLIFE Securities LLC (CRD#: 5167) in Fort Wayne, Indiana, is currently involved in a pending customer dispute in which the plaintiff alleges that they were misled into investing in an unregistered security, according to his BrokerCheck record accessed on November 14, 2019. Joel Flanigan’s troubles began […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Capital Financial Services broker/adviser William Fauzio has received several customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fauzio (CRD# 2193834). William […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Georgia-based IFS Securities broker Jay Chitnis is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Cape Securities broker John Prinzivalli (CRD# 4185256). John Prinzivalli has spent fourteen years in the securities industry and has been registered with Cape Securities in Holtsville, New York, since 2012. Previous registrations include Salomon […]

According to the Financial Industry Regulatory Authority (FINRA), former Ohio-based Prime Solutions broker Jeffrey Gainer has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Jeffrey Gainer has spent 13 years in the securities industry and was most recently registered with Prime Solutions Securities in […]

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