Anthony Conti Allegedly Withheld Material Information Concerning the Financial Condition of an Issuer from its Sales Force & Claimant Prior…
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Investigations
Gregory Voigt— Alleged Unsuitable Investment Recommendations, Excessive Trading, & Misrepresentation
Gregory Alan Voigt Alleged Unsuitable Investment Recommendations, Excessive Trading, & Misrepresentation Gregory Voigt allegedly engaged in unsuitable investment recommendations, excessive…
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John Gordinier— Alleged Negligence Relating to Energy Investments
John Dunn Gordinier Allegedly Was Negligent in Relation to the Suitability of Certain Energy Investments; $500K in Damages Have Been…
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Individuals suspended by FINRA in September 2018
The Goldman Scarlato & Penny investor rights attorney Alan Rosca has launched investigations as to the brokers below, who were…
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Individuals barred by FINRA in September 2018
The Goldman Scarlato & Penny investor rights attorney Alan Rosca has launched investigations as to the brokers below, who were…
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Anthony Sichenzio, Joseph Laura, & Walter Gil de Rubio— Alleged Crude Oil Processing Scheme
Anthony R. Sichenzio, Joseph M. Laura, & Walter Gil de Rubio Allegedly Raised $3.7 Million from 80 Investors through Sales…
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Kevin Merrill, Jay Ledford, & Cameron Jezierski— Alleged Ponzi-like Scheme
Kevin B. Merrill, Jay B. Ledford, & Cameron Jezierski Allegedly Operated a Ponzi-like Scheme Raising over $345 Million from over…
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Timothy Beall– Alleged Selling Away, Misrepresentation, & Unsuitable Investments
Timothy John Beall Allegedly Engaged in Selling Away, Misrepresentation, & Unsuitable Investments while Registered at National Planning Corp. Timothy John Beall allegedly…
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Behavioral Recognition Systems Inc. & Tamara Steele— Alleged Investment Fraud Scheme
Steele Financial Inc. & Its Sole Owner Tamara Steele Allegedly Orchestrated a $13 Million Fraud Scheme Involving 120 Advisory Clients,…
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Sylvester Knox– Alleged Misrepresentation & Omission
Sylvester Knox Allegedly Committed Acts of Misrepresentation & Omissions of Material Facts; Knox Settled a Dispute for $300K in 2017 Sylvester…
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