Hundreds of individuals invested over $16 million in a fruitless gold mining venture organized by Nekekim Corporation and its CEO, Kenneth Carlton, according to a complaint filed by the Securities and Exchange Commission. Nekekim and Carlton defrauded investors…
Daniel Howard Glick, formerly with Transamerica Financial Advisors, Inc., was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in connection with claims Glick forged clients’ signature on documents in order to gain access to…
Bret L. Boteler, the president of EnerMax, Inc., raised $17.26 million through the fraudulent offer and sale of securities to over 250 investors in more than 40 states without registering any offering, according to a complaint filed by…
Prock v. Thompson National Properties, LLC, et al., a securities class action filed on behalf of investors in the TNP 6700 Santa Monica Boulevard, a real estate investment program that raised approximately $17 million from the investing public….
American Chemicals & Equipment Inc. 401(K) Retirement Plan v. Principal Management Corporation, et al., a case involving claims brought by ACE 401(k) Plan, on behalf of the shareholders of six mutual funds, against the investment advisors for those…
Diebold v. Northern Trust Investments, a case brought on behalf of a class of approximately 1,500 ERISA plans alleging that an ERISA fiduciary violated its fiduciary duty by making imprudent investment decisions and charging excessive fees in connection…