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Investor Rights Blog
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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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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The Law Firm of David R. Chase and Silver Law Group recently filed a FINRA arbitration claim against Independent Financial Group, a securities firm, after its broker improperly recommended the services of an individual who the SEC claims was engaged in a Ponzi scheme. The statement of claim alleges the Claimant was the client of...
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The Securities and Exchange Commission filed civil charges yesterday against 1 Global Capital LLC and its former CEO alleging they defrauded approximately 3,400 retail investors, a number of whom invested their retirement monies.  Global Capital, which was engaged in the cash advance business, and Carl Ruderman, its former CEO, are alleged by the SEC to have raised in...
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Did You Invest in 1st Global Capital Through a Stockbroker or Financial Advisor and Have Concerns About Your Investment? 1st Global Capital filed for Chapter 11 Bankruptcy after the Securities and Exchange Commission (SEC) launched an investigation into the possible: (1) sale of unregistered securities, (2) sales of securities by unregistered brokers, and (3) fraud in...
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The securities law firm of David R. Chase, http://www.davidchaselaw.com, is investigating potential arbitration claims against brokerage firms for their offer and sale of American Finance Trust, Inc. (Nasdaq symbol AFIN), a non-traded REIT, which has lost almost half of its value from its initial sales price of $25.00 a share. Non-traded REITs are typically marketed...
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The Securities and Exchange Commission (SEC) earlier this week filed an emergency enforcement action in federal court seeking to shut down an alleged ongoing fraudulent scheme run by a handful of investment advisors, including Perry Santillo, Christopher Parris, Paul Anthony Larocco, John Piccarreto and Thomas Brenner. The SEC alleges that these individuals were involved in an ongoing...
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This week the United States Securities and Exchange Commission sought and obtained asset freezes against five investment advisers for allegedly defrauding approximately 637 investors over the course of years in a $102 million Ponzi scheme. The SEC filed an enforcement action against Perry Santillo of Rochester, New York, Christopher Parris also of Rochester, Paul LaRocco of Ocala, Florida, John Piccarreto of San Antonio, and Thomas Brenner of...
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The Securities and Exchange Commission has sued an equipment leasing company, Essex Capital Corporation, and its principal for fraud in connection with their sale of over $80 million in promissory notes. Per the SEC’s complaint, between 2014 and 2017, Essex Capital Corporation and its founder, Ralph T. Iannelli, issued numerous false statements and illusory personal guarantees...
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