Ronald Roach a broker with Securities America Barred over DC Solar transactions. Ronald Roach, a registered representative from Walnut Creek, California, formerly with Securities America, was barred from association with any broker dealer or registered investment advisor by the SEC after pleading guilty to wire fraud and securities fraud charges…
Michael Tanha suspended by FINRA Michael Tanha, a registered representative from Beverly Hills, California, formerly with Merrill Lynch, was suspended from FINRA membership for 10 months and fined $15,000 as a result of an investigation into his participation in outside business activated without obtaining the prior written approval of his…
Thomas Laws of Silver City, New Mexico charged by the SEC and Barred by FINRA Thomas Laws, a registered representative from Silver City, New Mexico, formerly with HD Vest Investment Services, was barred from FINRA membership as a result of an SEC investigation into alleged misconduct in his handling of…
David Ferwerda sold Woodbridge and 1 Global Capital Investments David Ferwerda, a registered representative from Grand Rapids, Michigan, formerly with Signator Investors and Valic Financial Advisors, was barred from FINRA membership as a result of an investigation into his participation in a private securities transactions without obtaining his firm’s prior…
Centaurus Financial investigation into Structured CDs The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Centaurus Financial a registered FINRA broker dealer based in Anaheim, California. The pending customer disputes that gives rise to the investigation concern a number…
Cory Burnell Blueprint Wealth Partners Investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the investment activity of Cory Burnell and Blueprint Wealth Partners, who are the subject of a regulatory filing (Consent Order) issued in September, 2019. The pending regulatory filling that…
CA Dept. of Business Oversight files action against Artec Global Media and Caleb Wickman The securities attorneys at The Law Office of David Liebrader have opened an investigation into the investment activity of Artec Global Media and Caleb Wickman, who are the subject of a regulatory filing (Desist and Refrain…
Alvin Cohen Michael Reinboth and Ralph Muscatelli subjects of CA Desist and Refrain Order The securities attorneys at The Law Office of David Liebrader have opened an investigation into the investment activity of Alvin Cohen Michael Reinboth and Ralph Muscatelli and their companies Encore Releasing, Incorporated Productions and Mammoth Film…
CA Dept. of Business Oversight Settles Claim Over George Pidgeon Fund Raising for Francis Capital Management The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sales activity of George Pidgeon, a former registered representative with Triple A Partners of Los Angeles, CA. Pidgeon’s…
Michael Carter Foresters Equity Services broker Woodbridge Mortgage Fund investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Michael Carter a registered representative formerly affiliated with Foresters Equity Services in Henderson, Nevada. The pending investigation concerns investments made…