FINRA suspends Waco Texas broker Michael Kamperman for 20 months Michael Kamperman, a registered representative from Waco, Texas, formerly with H.D. Vest Investment Services and Prospera Financial Services, was suspended from FINRA membership as a result of an investigation into securities related activity conducted by regulator FINRA. Findings made in…
Nina Jessee barred for refusing to cooperate with a FINRA investigation. Nina Jessee, a registered representative from Abingdon, Virginia, formerly with Cetera Advisors and Investors Capital Corp., was barred from FINRA membership as a result of her refusing to cooperate with a FINRA investigation into her recommendation of alternative inestments,…
Roger Owens Cetera Advisors 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 Roger Owens a registered representative formerly affiliated with Cetera Advisors in Elkton, Maryland. The pending investigation concerns investments made by Roger…
Jeffrey Schwebach Independant Financial Group 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 Jeffrey Schwebach a registered representative formerly affiliated with Independant Financial Group in Dell Rapids, South Dakota. The pending investigation concerns…
Frank Dietrich Quest Capital 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 Frank Dietrich a registered representative formerly affiliated with Quest Capital Strategies in Springfield, Virginia. The pending customer dispute that gives rise…
Patrick Teutonico Network 1 Financial Securities broker excessive trading investigation The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Patrick Teutonico a registered representative affiliated with the Network 1 Financial Securities office in Seaford, New York. Mr. Teutonico partnered…
Judgement against Ronald J. Robinson former CEO of Virtual Communications Corporation The Law Office of David Liebrader is pleased to announce a judgment in the Reva Waldo vs. Virtual Communications Corporation and Ronald J. Robinson case in Clark County, Nevada District Court after a bench trial before Judge Timothy Williams…
EB-5 Fraud is on the rise. From immigration attorneys acting as unregistered broker-dealers to scammers preying on unsuspecting investors the field is a potential trap for the unwary. In 1990 the US Congress devised the Immigration Investment Program in the hopes of attracting capital to the US from foreign investors. …
Future Income Payments information for investors In the past several years multiple state finance and securities regulators have filed enforcement actions against Henderson, Nevada based Future Income Payments LLC to stop them from targeting pensioners – many of them military veterans- with a pitch to “cash out” their pensions and…
Sheaff Brock Put Option Income Strategy Caused Losses The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Sheaff Brock a registered investment advisor that offered a put option income strategy that it described as a conservative way to earn…