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Fraud

Leona Lynn Parsons Sentenced to Three Years for Stealing from Senior Clients

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 …

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SEC Charges Bankrupt 1 Global Capital and Its CEO of Operating Alleged $287 Million Loan Fraud

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 …

SEC Charges Bankrupt 1 Global Capital and Its CEO of Operating Alleged $287 Million Loan Fraud Read More »

Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million

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 …

Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million Read More »

Pinnacle Investors May Have Recovery Options from 1 Global Capital and 1 West Capital Losses

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 …

Pinnacle Investors May Have Recovery Options from 1 Global Capital and 1 West Capital Losses Read More »

Bankrupt 1 Global Capital and 1 West Capital Investigated by SEC and U.S. Attorneys

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 …

Bankrupt 1 Global Capital and 1 West Capital Investigated by SEC and U.S. Attorneys Read More »

Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money

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 …

Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money Read More »

Invest in United RL, Percipience, or First Nationale? You May Be Able to Recover Your Losses.

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 …

Invest in United RL, Percipience, or First Nationale? You May Be Able to Recover Your Losses. Read More »

Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes

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 …

Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes Read More »

John Cochran Maccoll Has Nine Customer Disputes and Reportedly Admitted He Stole Client Funds

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 …

John Cochran Maccoll Has Nine Customer Disputes and Reportedly Admitted He Stole Client Funds Read More »

James Lyons’s Former Clients May Still Have Options to Recover Investment Losses

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. …

James Lyons’s Former Clients May Still Have Options to Recover Investment Losses Read More »

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