The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Pension Funding LLC. Our firm has received calls from investors who were solicited by licensed FINRA brokers to purchase the Pension Funding investments, which have gone into default. Pension Funding,…
On February 16, 2016 the Securities and Exchange announced that Wade Lawrence submitted an Offer of Settlement, which the SEC determined to accept. Solely for the purpose of the SEC’s proceedings and without admitting or denying the findings therein, Wade Lawrence agreed to the findings that he made unauthorized trades…
In November, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that Bart Ellis of Chicago, IL and formerly associated with Ameriprise Financial had been barred from FINRA membership for making unauthorized trades in his customer’s account. Ellis had been named in a FINRA complaint alleging that he made unauthorized trades…
In February, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that David Escarcega of Phoenix, AZ, and associated with Center Street Securities had been barred for his role in selling GWG secured debentures. On February 29, 2016, a panel of FINRA’s Office of Hearing Officers issued a decision ordering that…
Unregistered financial advisor Reza Baharimehr (aka Mohamed Baharimehr) of Los Angeles, CA and Las Vegas, NV was hit with three judgments in Clark County NV District court for his role in a scam targeting elderly people. The Law office of David Liebrader represented the Plaintiffs in all three cases. Reza…
The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of IBN Financial Services, a FINRA registered broker dealer that was sanctioned by the Pennsylvania Department of Banking and Securities in July 2014. In July, 2014 IBN Financial Services entered into…
The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Steven Wyatt, a FINRA registered representative formerly associated with Morgan Stanley in Ridgeland, Mississippi. In October 2015 Steven Wyatt disclosed that he was the subject of an investigation by the…
Richard Isgrig, a registered representative formerly with Northwestern Mutual of Cincinnati, OH was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Sam Collaku, a registered representative formerly with National Securities in Edison, NJ was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Ray Aleksey, a registered representative formerly with Wells Fargo in Brooklyn, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…