Jason E. Mininger Allegedly Operated an Investment Scheme Wherein He Purportedly Misrepresented to Clients that He Needed to Use their…
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Investigations
Bitstrade – Alleged Sales of Unregistered Securities
Bitstrade Sales Halted by New Jersey Bureau of Securities; Cease and Desist Order Alleges Bitstrade Sold Unregistered Securities in New…
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TD Ameritrade & Sheaff Brock Investment Advisors, LLC — Risky Put Income Strategy
TD Ameritrade Allegedly Implemented the Risky Put Options Strategy of Sheaff Brock Investment Advisors, LLC through Ameritrade’s AdvisorDirect Program; TD…
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Woodbridge Group & Robert Shapiro — Alleged Ponzi Scheme
Woodbridge Group and Robert Shapiro Allegedly Orchestrated a $1.2 Billion Ponzi Scheme which Reportedly Sought Mainstream Investors Robert Shapiro and Woodbridge…
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FSC Securities Corp. & Barry Hartman — Alleged Investment Fraud
Investment Advisor Barry Hartman Allegedly Solicited Illegal Investments in Invizeon without the Knowledge of FSC Securities Corp.; Hartman, of Missoula,…
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Brian Royster — Allegedly Taking Loans from Clients
Brian Royster, a Former H.D. Vest Broker, Allegedly Accepted Loans from Clients in Violation of His Firm’s Policy Against Borrowing Money…
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Thomas Riquier — Alleged Real Estate Scheme
Thomas T. Riquier Allegedly Operated an Intricate Real Estate Scheme which Purportedly Defrauded Investors of over $1 Million over 26…
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Daniel Vazquez & Hoplon Financial Group— Alleged Misappropriation of Funds
Daniel B. Vazquez, Sr. Allegedly Misappropriated over $780,000 in a Fraud Scheme involving a $2.18 Million Real Estate Investment Fund with…
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Craig Lewis — Alleged Undisclosed Business Activity
Craig Edward Lewis, a former Broker for Valic, Allegedly Engaged in Undisclosed Outside Business Activity by Making Sales of Annuities through…
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Renwick Haddow & Bar Works— Alleged Ponzi Scheme
Renwick Haddow and Bar Works Allegedly Operated a Ponzi Scheme; 27 Chinese Investors Requesting that JPMorgan Chase Provide Data and…
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