On September 5, 2018, the San Diego Union Tribune reported that former financial adviser Leona Lynn Parsons (Leona Parsons) was sentenced to three years in prison. Parsons’ sentence follows her pleading guilty on August 8 to charges that she stole about $300,000 from four of her senior clients. Parsons reportedly either borrowed large sums from
There is a new development in the 1 Global Capital and 1 West Capital bankruptcy and fraud investigations previously reported by Marquardt Law Office LLC. On August 29, 2018, the Securities and Exchange Commission (“SEC”) announced it filed charges against 1 Global Capital LLC and its CEO, Carl Ruderman. The SEC filed its complaint in
According to FINRA public records, former Dayton, Ohio based broker John Greg Schmidt (Greg Schmidt or John Gregory Schmidt) has five disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Wells Fargo discharged Schmidt in November 2017. Between October 2007 and January 2018, customers filed private arbitration claims
Marquardt Law Office LLC previously reported that financial advisors sold investments in 1 Global Capital and 1 West Capital to investors nationwide. These companies are bankrupt and under investigation for fraud. According to the Kansas City Star, Kansas City area advisors were among the sellers of 1 Global Capital and 1 West Capital investments. The
UPDATE: The Securities and Exchange Commission filed charges against 1 Global Capital, its CEO Carl Ruderman, 1 West Capital, and others. Click here to read more. Investment advisors sold investments in 1 Global Capital and 1 West Capital to thousands of investors nationwide. 1 Global Capital and 1 West Capital are affiliated companies that are
If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment recovery options. Marquardt Law Office LLC previously reported UBS Financial Services Inc. discharged Maccoll amid its investigation he stole clients’ funds and had several customer claims. Maccoll previously worked
Marquardt Law Office has received calls about losses in United RL Capital Services and Percipience Global Corporation. The firm is interested in speaking with any individuals whose broker or investment advisor was involved in their investing in these companies or First Nationale Solution. On June 19, 2018, the Securities and Exchange Commission (“SEC”) filed federal
According to FINRA public records, CoreCap Investments broker Holly Marie Maurer has five disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Holly Maurer’s customers filed the claims between August 2017 and March 2018. All claims are pending and request damages from $110,000 to $250,000. The customer claims
Update: on August 9, 2018, federal prosecutors indicted John Maccoll on criminal charges and the Securities and Exchange Commission filed civil charges against him alleging he stole clients’ funds. If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment
Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with James Edward Lyons. On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former Raymond James and Morgan Keegan broker from associating with firms registered with FINRA. FINRA registers and regulates securities brokers and brokerage firms.
