201607.17
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Darrin B. Farrow—Cannabis-Related, Unauthorized Private Securities Transactions

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 proliferation of legalization of said drug in other states,…

201607.05
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Richard Gomez— Unsuitable Recommendations in Private Placement Securities Offerings

Richard Gomez, of NYC, Allegedly Sold Private Securities Offerings without Approval from Legend Securities Have you invested your hard-earned cash with Richard Gomez of New York City? If so, the Peiffer Wolf Carr & Kane securities lawyers are currently investigating Richard Gomez’s alleged unsuitable recommendations. Specifically, FINRA alleges that, from June 2011 to November 2011,…

201606.23
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Ash Narayan– Multi-million Dollar Fraud Scheme

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 invest in Ticket Reserve Inc. (TTR) without purportedly first…

201606.08
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Jerome “Joe” Bonnett—Misappropriation of Funds, Alleged Ponzi Scheme

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 Joe Peiffer and Joe Peiffer. Jerome “Joe” Bonnett allegedly allowed losses to his investment clients…

201606.06
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Rathbun and Miller— Sale of Investments to Clients

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 the sale of investments in six related LLCs to…

201606.05
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Lawson Financial Corporation (LFC) and Robert Lawson—Securities Fraud

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 of Destiny Bonds and Hillcrest Bonds which funded a…