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March 30, 2018
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Blog, Current Investigations
Ironwood Partners II LP – Securities Investigation Are you concerned about your investment in Ironwood Partners II LP (formerly known as Ironwood Institutional Partners LP)? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that
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March 29, 2018
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Blog, Current Investigations, Securities Fraud
SEC Charges Maxwell Technologies with Fraudulent Scheme According to a press announcement yesterday, the Securities and Exchange Commission has charged Maxwell Technologies, Inc., and one of its former sales executives in a fraudulent revenue recognition scheme designed to inflate the company’s reported financial
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March 29, 2018
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Blog, Current Investigations
Aegis Capital Corporation fined $1.3 Million According to a press announcement today, Aegis Capital Corporation will pay $1.3 million in fines after reportedly admitting it failed to file suspicious activity reports on deals that should have set off red flags for potential money-laundering activity, regulators said.
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March 29, 2018
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Blog, Current Investigations, Securities Fraud
Securities Fraud Investigation – Financial Advisor Ralph Savoie The White Law Group continues to investigate potential claims involving Ralph Savoie and the liability that his employer may have for failing to properly supervise him. According to the U.S. District Attorney’s Office in Baton Rouge,
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March 28, 2018
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Blog, Current Investigations
Securities Investigation – Larry Fawcett Jr. According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has reportedly barred former advisor Lawrence “Larry” Fawcett, Jr. (CRD#: 5851474, Los Angeles, CA) from working in the securities industry. Fawcett allegedly failed to produce
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March 28, 2018
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Blog, Current Investigations, Securities Fraud
Los Angeles Advisor Timary Delorme accused of Pump- and- Dump Scheme Are you concerned about your investments with Timary Delorme & Wedbush Securities? According to a press announcement today, the Securities and Exchange Commission announced charges against Wedbush Securities Inc. for failing to supervise
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March 27, 2018
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Blog, Current Investigations, Securities Fraud
FINRA Investigates Sanders Spangler for Unauthorized Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Sanders L. Spangler (CRD #4188542) in connection with an investigation into potential unauthorized trading in five customers’ accounts. FINRA staff sent a
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March 26, 2018
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Blog, Current Investigations, Securities Fraud
Update on ex-broker Craig Josephberg – Securities Fraud Investigation According to reports, former broker Craig Josephberg pled guilty to securities and wire fraud and conspiracy charges last week, ahead of his scheduled trial in April. As we told you in August 2014, Craig Josephberg was indicted on charges of
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March 26, 2018
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Blog, Current Investigations, Securities Fraud
Ex-Brokers Christopher Cervino & Larry Werbel to pay clients $845,000 According to the Financial Industry Regulatory Authority (FINRA), two ex-brokers involved in a securities fraud scheme last year have been ordered to pay $845,000 to two clients they allegedly defrauded. Christopher Cervino and Larry Werbel were
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March 26, 2018
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Blog, Current Investigations
ARC New York City REIT – Letter to Investors ARC New York City REIT is a non-traded real estate investment trust sponsored by AR Global and focused on properties located in the five boroughs of New York City, with a focus on Manhattan. According to a letter to Shareholders on March 6, the Board announced
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