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David R. Chase P.A.
The Law Firm of David Chase has filed another FINRA arbitration claim against Voya Financial Advisors related to its former employee, Greenville, South Carolina broker James T Flynn (CRD# 3082615). The securities arbitration complaint alleges that Flynn made unsuitable investment recommendations to our clients, retirees who sought to protect their retirement nest egg, involving high-commission...
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Former Clients of Stock Broker James Flynn The Law Firms of David Chase and Silver Law Group are jointly representing former clients of Greenville, South Carolina broker James T. Flynn in cases to recover their investment losses. Stock broker fraud attorney David Chase, formerly an SEC Enforcement Attorney, represents investors around the country and has recovered millions...
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In its continuous efforts to identify and prosecute EB-5 investment fraud, the Securities and Exchange Commission recently announced that it settled securities fraud charges against three Houston-area real estate developers alleging misuse of investor capital raised from approximately ninety Chinese investors under the EB-5 Immigrant Investor Program. Under the terms of the SEC settlement, the real estate developers agreed to repay the $49.5 million they...
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The Securities and Exchange Commission recently filed securities fraud charges against a self-styled penny stock promoter for conducting a manipulative trading scheme involving over ninety microcap stocks. The SEC’s complaint names Eric Landis of Virginia, and alleges he falsely represented to media buyers for microcap stocks that he would disseminate marketing materials for the securities through email lists with thousands of subscribers.  In truth, the SEC claims, his distribution lists...
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In light of the significant advances in blockchain and distributed ledger technologies and their increasing use in the raise of capital in our financial markets, the Securities and Exchange Commission has issued an official pronouncement concerning several of its recent enforcement actions in this emerging area to provide guidance to market participants. While the SEC has stated that it encourages technological advancements that benefit the...
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The United States Securities and Exchange Commission secured a court order effectively halting an ongoing securities fraud run by a licensed stock broker. In its Complaint, the SEC alleges that broker Sean Kelly utilized entities he controlled to raise at least $1 million in investment capital from 12 investors, which included elderly retirees, representing that he would use their...
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The SEC last week brought charges against an immigration lawyer and her husband for allegedly engaging in a scheme to defraud that reaped millions in undisclosed compensation sourced from foreign national investors seeking permanent US residency via the EB-5 Immigration Investor Program. The complaint filed by the US Securities and Exchange Commission claims that Jean Danhong Chen and...
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The Law Firm of David Chase is reviewing customer allegations of unsuitability and wrongdoing involving REITs and other illiquid investments made against Greenville, South Carolina based broker James Flynn, who was formerly with the securities brokerage firms of Voya Financial Advisors and IFS Securities. According to FINRA’s BrokerCheck report on Flynn, eight customers made complaints...
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In a high-profile enforcement action, the Securities and Exchange Commission sued and settled with Elon Musk, Chief Executive Officer and Chairman of technology company Tesla, Inc., on allegations he made fraudulent statements in several tweets regarding Tesla’s intention to go private.  The SEC also brought charges against Tesla for failing to maintain required disclosure procedures and controls with respect to Musk’s tweets, which...
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The Securities and Exchange Commission this week filed charges against a securities broker for wrongfully using access to his clients’ securities brokerage accounts to enrich himself at the direct expense of his customers, a number of whom had invested retirement assets. In a continuing trend, the SEC discovered the purported fraudulent stock scheme using proprietary...
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