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Investment Misconduct Blog

Fraud

Windsor Street Capital Accused by Regulator of Facilitating Fraud

Adam J. Marquardt May 29, 2018

On May 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) publicly released a complaint that it filed against Windsor Street Capital, LP (formerly known as Meyers Associates, L.P.) and four of its registered representatives.  FINRA registers and regulates brokers and brokerage firms. The complaint names Windsor and its associated persons Bruce Meyers, Imitaz (Raana)

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Emil J. Skyba Barred During Investigation of His Possible Alternation of Customer Forms

Adam J. Marquardt May 16, 2018

On May 11, 2018, FINRA announced that it barred former securities broker Emil J. Skyba from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Skyba because he declined to provide

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Leon Vaccarelli Indicted on Criminal Charges for Alleged Theft

Adam J. Marquardt May 14, 2018

On May 14, 2018, the Securities and Exchange Commission (SEC) announced that federal prosecutors filed federal criminal charges against Leon Vaccarelli. A federal grand jury in New Haven, Connecticut returned a 12-count criminal indictment against Vaccarelli for fraud and money-laundering.  The charges are in connection with allegations Vaccarelli defrauded individuals out of more than $1

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Stacy E. Cheney-Jamison, Ex-CUNA and IFS Broker, Accused of Theft by Investors

Adam J. Marquardt May 9, 2018

Update: On June 19, 2018, the Securities and Exchange Commission (SEC) filed charges against Christopher Parris and United RL Capital Services, as well as four other individuals and Percipience Global Corporation and First Nationale Solution, accusing them of being involved in a massive Ponzi scheme bilking 637 investors out of $102 million. On May 8,

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Jason Harris Klabal’s Former Customers May Still Have Options to Recover Losses

Adam J. Marquardt May 7, 2018

On February 12, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Jason Harris Klabal from associating in any capacity with FINRA member firms.  FINRA registers and regulates brokers and brokerage firms. Previously, FINRA suspended Klabal on December 4, 2017 for alleged misconduct.  FINRA said it permanently barred Klabal after he failed to request

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Paul W. Smith, Ex-Bolton Global broker, Sentenced to Five Years for Ponzi Scheme

Adam J. Marquardt May 4, 2018

On May 4, 2018, the Securities and Exchange Commission (SEC) announced that Paul W. Smith was sentenced to 63 months imprisonment followed by one year of supervised release and ordered to pay $886,214 in restitution.  Smith was sentenced in criminal charges filed against him by the U.S. Attorney’s Office for the Eastern District of Pennsylvania. The

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Marcus Duane Parker, former Wells Fargo broker, Barred During Investigation into Possible Theft

Adam J. Marquardt May 4, 2018

On February 16, 2018, FINRA announced that it barred securities broker Marcus Duane Parker from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Parker when he failed to respond to

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Sonya Camarco Customers Still Have Claims to Recover Loses from the Ex-Broker

Adam J. Marquardt May 4, 2018

Between August 2017 and December 2017, six FINRA arbitration claims were filed against the former Colorado based broker Sonya Camarco alleging misrepresentations of a trust or misappropriations of customer funds, according to Financial Regulatory Authority, Inc. (FINRA) records. In October and December two of the claims settled, with at least one for 100% of claimed

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Rocco Roveccio Investors May Have Options to Recover Their Losses

Adam J. Marquardt April 30, 2018

On April 11, 2018, the Securities and Exchange Commission (SEC) announced in a press release that Rocco Reveccio was one of three former Alexandre Capital brokers charged with defrauding their customers.  The others are William C. Gennity and Laurence M. Torres. The SEC filed a complaint against Reveccio and Gennity in the U.S. District Court

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You May Be Able to Recover Losses Suffered While Investing with Dawn Bennett or Bradely Mascho

Adam J. Marquardt April 28, 2018

Dawn Bennett and Bradley Mascho, two ex-Western International Securities, Inc. brokers, have been accused in regulatory, criminal, and customer complaints of fraud and other misconduct causing investors millions in losses.  Several of their former clients have recovered losses in arbitration claims, and others may still have claims. The latest regulatory action occurred in January 2018

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