Moving at a pace that will soon make him a strong competitor with industry giants LPL and Ameriprise Financial, real estate investor Nicholas Schorsch has purchased five independent brokerage firms since June, 2013. In June, Schorsch announced the…
Securities Fraud
Richard Schwartz, an investment advisor formerly in Kokomo, Indiana, has been accused by regulators of perpetrating a fraudulent investment scheme that victimized scores of investors across the country, under the umbrella of RAS & Associates, his investment advisory…
Lynn A. Simon, an Evansville investment adviser, has been charged with securities fraud for allegedly swindling investors in his area of more than $1 million. Investigation by securities lawyers Jason Kane and Joe Peiffer established that Lynn Simon…
George J. Bussanich, a 55-years old man from Park Ridge and his son George Bussanich, 34-years old, of Upper Saddle River, are facing charges for engaging in securities fraud through the sales of unregistered notes in New Jersey. The Bussaniches allegedly…
A Dunham Mortgage Fund investor recently received compensation for the losses he suffered on his Dunham investment from the stock brokerage firm that sold him that investment. The Dunham Mortgage Fund investor sued Cetera Financial and two other financial service providers in FINRA arbitration, for more than…