Jackson’s Arthur Lamar Adams Allegedly Orchestrated a Multi-million dollar Ponzi scheme Affecting Hundreds of Victims in Many States Arthur Lamar…
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Investigations
Ronald Broadstone– Alleged Unauthorized Trading & Misappropriation of Customer Assets
Ronald D. Broadstone Allegedly Engaged in Unauthorized Trading, and Settled a Customer Complaint without Proper Notification Ronald Broadstone allegedly engaged in unauthorized…
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Tamer Moumen—Alleged Investment Fraud
Tamer Moumen Allegedly Misrepresented His Trading History to Clients as He Allegedly Ran a $9 Million Investment Fraud Tamer Moumen…
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Robert Tweed— Alleged Misleading Private Placement Memorandum
Robert “Rusty” Tweed Allegedly Brought in More than $1.6 Million from His Retail Customers via a Purportedly Misleading Private Placement Memorandum…
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Gregory LeVine— Alleged Unapproved Private Securities Transaction
Gregory Alan LeVine Allegedly Engaged in an Unapproved Private Securities Transaction & Failed to Report a Customer Complaint over an…
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Christopher Jorgensen – Alleged Directions to Avoid a Response to FINRA
Christopher S. Jorgensen Allegedly Directed a Customer to Avoid Responding to a FINRA Inquiry Christopher Jorgensen’s member firm, Summit Brokerage…
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Mark Sellers, John Scott Elliott— Alleged Ponzi Scheme
Mark Sellers Allegedly Ran a $10 Million Ponzi Scheme with Purported Assistance from John Scott Elliott to Make Sales of Investments…
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Kyle Harrington & Linda Milberger— Private Securities Transactions
Kyle P. Harrington Allegedly Took Part in Undisclosed Private Securities Transactions & Linda Milberger Allegedly Helped Conceal Said Misconduct Kyle Harrington allegedly…
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Kim Dee Isaacson– Alleged Omission of Material Facts & Fraudulent Misrepresentations
Kim Dee Isaacson Allegedly Made Omissions of Material Facts & Fraudulent Misrepresentations to Her Morgan Stanley Customers Kim Dee Isaacson…
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Christopher Hickman– Alleged Unsuitable Short-term Trading
Christopher R. Hickman Allegedly Executed a Pattern of Unsuitable Short-term Trading of UIT’s & Hickman’s Clients Allegedly Lost Roughly $115,989.75…
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