Articles Posted in Investment Advisor

William J. Wells and Promitor Capital Management LLC. – Boca Raton, Florida Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney SEC Charges New Jersey Fund Manager With Securities Fraud The Securities and Exchange Commission recently charged a New Jersey fund manager and his firm with defrauding investors by lying about his credentials, concealing trading…

Innovative Business Solutions, LLC. and Arthur Jacob – Boca Raton, Florida Investment Adviser Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney Relating to Among Other Investments, Exchange Traded Funds. SEC Charges Florida Investment Adviser and His Company With Defrauding Investors The Securities and Exchange Commission recently announced fraud charges against Florida-based…

Mark Welhouse and Welhouse & Associates, Inc. – South Florida Improper Trade Allocation and Cherry-Picking FINRA Arbitration and Litigation Attorney SEC Announces Cherry-Picking Charges Against Investment Manager Case Arises From Enforcement Initiative Analyzing Large Volumes of Investment Advisers’ Trade Allocation Data The Securities and Exchange Commission recently announced fraud charges against a Wisconsin-based investment advisory…

Veros Partners, Inc., Jeffrey B. Risinger and Tobin J. Senefeld – Boca Raton, Florida Investment Adviser and Private Offering Fraud and Misrepresentation Attorney Securities and Exchange Commission v. Veros Partners, Inc., et al., Civil Action No. 15-cv-000659-JMS-MJD (S.D.Ind., filed April 22, 2015) SEC Halts Fraudulent Farm Loan Scheme by Indianapolis Investment Adviser The Securities and…

Concealing Poor Performance of Fund Assets – South Florida Securities and Investment Mismanagement Attorney SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors The Securities and Exchange Commission recently announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance…

Boca Raton, Florida Securities and Investment Fund Fraud and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. Frederic Elm f/k/a Frederic Elmaleh, et al., Case No. 15-cv-60082-DIMITROULEAS/SNOW SEC Charges Investment Adviser and Manager in South Florida-Based Fraud The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a Fort…

Boca Raton, Florida Investment and Advertising Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds The Securities and Exchange Commission trecently charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised…

Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Stevens – Boca Raton, Florida Investment Fund and Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney Securities and Exchange Commission v. Wealth Strategy Partners, LC, et al., Civil Action No. 14-CV-02427-JDW-TGW SEC Charges General Partner and Investment Advisers to the Stealth and…

Securities and Exchange Commission v. Oscar F. Villarreal, Civil Action No. 14-cv-01891 Former Cleveland-Area Investment Promoter Oscar F. Villarreal Indicted On September 16, 2014, the United States Attorney for the Northern District of Ohio obtained a Grand Jury indictment charging Oscar F. Villarreal with ten counts of wire fraud, seven counts of money laundering, one…

South Florida, including West Palm Beach and Boca Raton Investment Advisor Conflict of Interest FINRA Arbitration and Litigation Attorney: Houston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients The Securities and Exchange Commission recently announced fraud charges against a Houston-based investment advisory firm accused of recommending that clients…