Investors who have suffered losses in private real estate investments that they purchased from Stephen Michael Brown may be able to recover their investment losses through FINRA arbitration or securities litigation. Stephen Michael Brown was employed as a broker with LPL Financial, LLC from July 1989 until May 2009 and ... Read More
Jan
31
Jan
24
Investors who have purchased promissory notes or investment agreements in Ulysses Partners, LLC that were recommended by James E. Neilsen and/or Ulysses Partners may be able to recover investment losses that they may have suffered through FINRA arbitration or securities litigation. The Connecticut Banking Commissioner has recently entered a cease ... Read More
Oct
02
On September 30, 2013, FINRA Issued a Cease and Desist Order Against John Carris Investments and CEO George Carris for allegedly engaging in Fraud and Stock Manipulation. In particular, FINRA’s Cease-and-Desist Order against John Carris Investments, LLC (JCI) and its CEO, George Carris sought to to immediately halt solicitations of ... Read More
Oct
02
On September 30, 2013, FINRA Issued a Cease and Desist Order Against John Carris Investments and CEO George Carris for allegedly engaging in Fraud and Stock Manipulation. In particular, FINRA’s Cease-and-Desist Order against John Carris Investments, LLC (JCI) and its CEO, George Carris sought to to immediately halt solicitations of ... Read More
Oct
02
Kons Law Offices continues to investigate Richard Schwartz and RAS & Associates following allegations that Richard Schwartz was believed to be running a Ponzi scheme targeting investors in and around Kokomo, Indiana. Based on news reports, Richard Schwartz convinced some of his clients to invest with his wealth management business, ... Read More
Oct
01
Investors who suffered losses investing with Richard Schwartz and his firm, RAS & Associates (which is based in Kokomo, Indiana) may be able to recover their losses through FINRA arbitration. According to recent news reports, Richard Schwartz and his wealth management firm RAS & Associates (a wealth management firm offering ... Read More
Jul
18
Investors who invested in Energae LP and/or I-Lenders, LLC on the recommendation of Darrell Duane Smith may be able to recover their losses through FINRA arbitration. On April 10, 2013, the Iowa Department of Insurance issued a cease and desist order against Darrell D. Smith, Energae LP, and I-Lenders LLC ... Read More
Jul
16
According to FINRA disciplinary records, Jerry D. McGlothlin was recently barred by FINRA for, among other issues, allegedly engaged in outside business activities without providing his employer (Lincoln Financial Securities Corporation) and for allegedly engaging in private securities transactions outside of the firm. This type of misconduct is generally known ... Read More
Jul
03
Investors who lost money investing with Burim Turkaj may be able to recover their losses through securities arbitration. According to news reports, Burim Turkaj was recently charged with four counts of theft from the elderly, four counts of criminal use of personal ID information and one count of fraudulent use ... Read More
Jun
11
Investors who invested with Robert A. Gist, ENCAP Technologies, and/or Gist, Kennedy & Associates may be able to recover their losses through securities litigation or arbitration. According to a recent FINRA disciplinary report, Robert A. Gist was permanently barred by FINRA for allegedly misappropriating several million dollars from approximately 30 ... Read More