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FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme: How to Recover Money

Tag Archives: ProEquities

28
Mar

FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme: How to Recover Money

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FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme:  How to Recover Money

Have you lost money investing in Future Income Payments (FIP Investments)?   The U.S. Attorneys’ Office for the District of South Carolina filed a criminal indictment against the Future Income Payments (FIP Investments) and its founder, Scott Kohn.  The indictment alleges that over $300 million was raised for Future Income Payments, which were purported to be ...

10
Jul

UPDATE! Matthew Woodard of Farmington, CT BARRED

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UPDATE!  Matthew Woodard of Farmington, CT BARRED

Matthew Woodard, formerly with ProEquities, Barred by SEC   Have you lost money with financial advisor Matthew Woodard of Farmington, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Matthew C. Woodard.  The SEC barred Woodard from the securities industry regarding allegations that he sold unregistered securities in a business ...

09
Aug

INVESTOR ALERT! ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

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INVESTOR ALERT!  ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against ProEquities, Inc., a Birmingham, Alabama-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against ProEquities, making numerous allegations regarding its conduct, including: a) failure to supervise the sales of non-traditional ETFs; b) failure ...

05
Aug

Business Development Companies (or BDCs)

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Business Development Companies (or BDCs)

Business Development Companies (or BDCs)   Business Development Companies (BDCs) have become increasingly popular investments over the last few years.  BDCs are similar to closed end mutual funds, in which an investor can invest in a number of companies at once.  The main difference between a mutual fund and a BDC is that BDCs generally ...

23
Mar

WARNING! Impending Investigation: CHRISTOPHER ELLIOTT and ETFs

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WARNING!  Impending Investigation:  CHRISTOPHER ELLIOTT and ETFs

Investigation of Christopher Elliott and ETFs   Have you lost money with financial advisor Christopher J. Elliott from Dumfries, Virginia? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher Elliott.  Elliott was suspended from the securities industry for two months by FINRA after he used unsuitable trading of ETFs (exchange ...

22
Feb

WARNING! Impending Investigation: MATTHEW WOODARD and FIRST ALLIED SECURITIES, INC.

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WARNING!  Impending Investigation:  MATTHEW WOODARD and FIRST ALLIED SECURITIES, INC.

Matthew Woodard and First Allied Securities, Inc.   Have you lost money with financial advisor Matthew Woodard of Farmington, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew C. Woodard. FINRA barred Woodard from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

03
Aug

Ex-Sonics Trainer from Redmond Sentenced to Prison Term

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Ex-Sonics Trainer from Redmond Sentenced to Prison Term   Stephen B. Gordon, from Renton, was sentenced on July 30, 2015 for running a $4 million Ponzi Scheme.  According to an article by KOMO News, Gordon was sentenced to four years in prison for his involvement in running this scheme.  The U.S. Attorney’s office for the ...

04
Jun

SEC CONCLUDES CASE AGAINST FORMER SEATTLE INVESTMENT ADVISOR

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SEC Concludes Case Against Former Seattle Investment Advisor   The Securities and Exchange Commission (SEC) has recently finished its case against Mark F. Spangler, a former investment adviser from Seattle, and his company The Spangler Group, Inc.  The SEC reported that a final judgment was entered by the U.S. District Court for the Western District ...

21
May

FORMER SEATTLE INVESTMENT ADVISOR PLEADS GUILTY TO FRAUD

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Former Seattle Investment Advisor Pleads Guilty to Fraud Satyen Chatterjee, a former investment advisor from Seattle, recently pled guilty to wire fraud. According to the Sky Valley Chronicle and Seattle Times, Chatterjee pled guilty in the U.S. District Court in Seattle. Chatterjee owned and operated an investment advisory firm called Strategic Capital Management, Inc. It ...

18
May

SECURITIES AND INVESTMENT FRAUD ON THE EASTSIDE

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Securities and Investment Fraud on the Eastside   As most locals already know, the Eastside is a collective term for eastern suburbs of Seattle.  It is a great place to live with many amenities to offer local residents.  However, like many other areas of the country, the Eastside has also been hit with securities and ...

10.0David P Neuman

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