A Clark County, Nevada judge awarded an investor $153,295 in a judgment against life coach and entrepreneur Dustin Aab on September 14, 2023. Mr. Aab, who goes by the moniker “Dustin da Closa” on Instagram, touts himself as a wealthy entrepreneur, and his social media is replete with pictures of…
On September 7, 2021 in the Clark County Nevada District Court, Chinese businessman Patrick Sun was ordered to pay $996,572 to an investor in his Chateau Le Trois EB-5 investment program. Mr. Sun previously known as Yao Jiang, from Shanghai, China, legally changed his name from Yao Jiang to Patrick…
Leveraged Silver Bullion Investments: Avoiding a Bad Bet Leveraged silver bullion investments present an unacceptable risk reward choice for investors. Due to excessive costs, interest and fees, an investor is far more likely to lose his entire investment than to break even. With the recent rise in gold prices, salesmen…
Virtual Communications Corporation officer Vernon Rodriguez was found liable to a group of Plaintiffs who purchased Promissory Notes from the company in 2015. In addition to Mr. Rodriguez, former CEO, and current shareholder Ronald Robinson was also found liable and, pending the issuance of a final judgment, will be ordered…
Zabala Farms Group LLC Managers Hit with $3.8 Million Judgment Zabala Farms Group, LLC managers Anthony Johnson and Jeremy Johnson were found liable to an investor, and ordered to pay him $3.8 million in damages for selling unqualified securities in the form of membership interests in GPA Enterprises, LLC and…
Carlos Isaac ordered to pay investor million dollar judgment. On January 27, 2020 a Clark County Nevada District Court Judge issued a judgment in the amount of $1,054,309 against Carlos Isaac III, the manager of two Nevada limited liability companies; Mackiernan, LLC and C13 Holding, LLC. Mr. Isaac used those…
Ronald Roach a broker with Securities America Barred over DC Solar transactions. Ronald Roach, a registered representative from Walnut Creek, California, formerly with Securities America, was barred from association with any broker dealer or registered investment advisor by the SEC after pleading guilty to wire fraud and securities fraud charges…
Michael Tanha suspended by FINRA Michael Tanha, a registered representative from Beverly Hills, California, formerly with Merrill Lynch, was suspended from FINRA membership for 10 months and fined $15,000 as a result of an investigation into his participation in outside business activated without obtaining the prior written approval of his…
Thomas Laws of Silver City, New Mexico charged by the SEC and Barred by FINRA Thomas Laws, a registered representative from Silver City, New Mexico, formerly with HD Vest Investment Services, was barred from FINRA membership as a result of an SEC investigation into alleged misconduct in his handling of…
David Ferwerda sold Woodbridge and 1 Global Capital Investments David Ferwerda, a registered representative from Grand Rapids, Michigan, formerly with Signator Investors and Valic Financial Advisors, was barred from FINRA membership as a result of an investigation into his participation in a private securities transactions without obtaining his firm’s prior…