Darrin Farrow Allegedly Participated in Unauthorized, Private Securities Transactions to Raise Funds for Cannabis Business Marijuana may still be restricted in the state of Ohio, but a couple of North-East Ohio entrepreneurs allegedly sought to improperly take advantage of this burgeoning industry. As one notes the...
Jim Jinkook Seol Allegedly Failed to Disclose Side $100 Million EB-5 Solar Investment Business, Seeking Investors via trips to China and South Korea to solicit investors in a project that would eventually fund NextEra Energy Capital Holdings LLC's Genesis Solar Energy Project Jim Jinkook Seol, from September...
Ash Narayan Allegedly Induced Clients to Invest in Ticket Reserve Inc. (TTR) without PurpotedlyTelling them it Was Financially Distressed, that He Owned Millions of Shares of TTR Stock, or that He Secretly Obtained Nearly $2 Million in Undisclosed Finder's Fees Ash Narayan allegedly induced clients to...
On June 2, a team of attorneys including Woska Law Firm, The Wise Firm, and Peiffer Wolf Carr & Kane filed a complaint against Genghis Grill and related entities in the Northern District of Oklahoma. The Plaintiff alleges violations of federal minimum wage laws and...
Jerome “Joe” Bonnett Allegedly Misappropriated More than $1.35 Million of Client Funds, Purportedly Engaging in a Ponzi Scheme Jerome “Joe” Bonnett allegedly misappropriated more than $1.35 million of client funds, according to Nebraska Court Documents currently under review by attorneys Jason Kane and Joe Peiffer. Jerome “Joe”...
Gary Lee Rathbun and Douglas Scott Miller Allegedly Failed to Disclose So-called Monitoring Fees Regarding the Sale of Investments to Clients of Their Registered Investment Adviser, Private Wealth Consultants, Ltd. (PWC) and Their Broker-dealer, Triad Advisors Gary Lee Rathbun and Douglas Scott Miller allegedly participated in...
Lawson Financial Corporation (LFC) and Robert Lawson Allegedly Took Part in a Huge Securities Fraud, Purportedly Underwriting Bond Offerings for Charter School and Assisted Living Facilities While Knowing Said Institutions Were in Poor Financial Health Lawson Financial Corporation (LFC) served as the underwriter for bond offerings...
United Development Funding IV (“UDF IV”) a real estate investment trust based in Texas and sponsored by United Development Funding, disclosed in a Securities and Exchange Commission (“SEC”) reporting that it has defaulted on a loan with a lender and has entered into a forbearance...
American Growth Funding II LLC (“AGF II”), AGF II’s owner Ralph Johnson (“Johnson”), Portfolio Advisors Alliance (“PAA”), PAA’s owner Howard Allen (“Allen”), and PAA’s president Kerri Wasserman (“Wasserman”) were charged with securities fraud by the Securities and Exchange Commission (“SEC”). The Peiffer Wolf securities lawyers...
"More than $34 million of arbitration awards made to investors in 2014 remain unpaid, according to new data from the Financial Industry Regulatory Authority, which regulates the nation's nearly 650,000 stockbrokers. That is equal to 15% of the total awards granted that year"...
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