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Securities and Exchange Commission Charges California Man in Alleged Fraudulent Real Estate Investment Scheme

Over the course of 2 years, 2014 and 2015, Paul A. Garcia and Caliber Capital Management, LLC (“Caliber”) allegedly schemed to raise over $670,000 in fraudulent securities.  One of the investors was an 82-year-old retiree.  Garcia allegedly used his position … Continue reading

SEC Files Complaint Against Platinum Funds for Defrauding Investors

The Securities and Exchange Commission has filed a complaint against Platinum Management LLC, Platinum Credit Management, L.P, Mark Nordlitch, David Levy, Daniel Small, Uri Landesman, Joseph Mann, Joseph Sanfilippo and Jeffery Shulse (all collectively “Defendants”).  The complaint alleges that the … Continue reading

SECURITIES AND EXCHANGE COMMISSION FILES COMPLAINT AGAINST SAN FRANCISCO REGIONAL CENTER, ET AL

The Securities and Exchange Commission has filed charges against Thomas Henderson, San Francisco Regional Center (“SFRC”) and other companies owned or controlled by Henderson.   Beginning in 2010 Henderson allegedly raised over $100 million from 215 investors.  He allegedly raised this … Continue reading

SECURITIES AND EXCHANGE COMMISSION CHARGES ASSISTED LIVING FACILITY OPERATOR WITH FRAUD, SEEKS RESTRAINING ORDER TO PROTECT INVESTORS AND PATIENTS

The Securities and Exchange Commission has charged Dwayne Edwards, Todd Barker, Senior Solutions of Social Circle, LLC, Oxton Place of Douglas, LLC d/b/a Oxton Real Estate of Douglas, LLC,  Rome Alf, LLC, Savannah ALF, LLC, Gainesville ALF, LLC, Waterford Place … Continue reading

White House Suggests Ban on Non-Compete Agreements for Some Workers

In late October, the White House again asked states to ban non-compete agreements for low wage workers and those that do not have access to trade secrets.  Non-compete agreements prohibit employees from working for competing companies and help to secure … Continue reading

Broker Charged with Taking More Than $1.4 Million from Clients

Marc D. Broidy has been charged by the SEC with allegedly pilfering $1.4 million from clients using 3 separate schemes.  Broidy is the sole owner and principal of Broidy Wealth Advisors, LLC.  He is alleged to have stolen assets of … Continue reading

SEC Charges Co-Founder of Minnesota-Based Energy Company in Stock Manipulation Scheme

Ryan Gilbertson, co-founder of Dakota Plains Holdings, Inc. has been charged by the SEC with stealing millions of dollars from the company he co-founded. Gilbertson allegedly siphoned off the cash using a variety of schemes, including (1) loaning the company … Continue reading

SEC Files Complaint Against a Group of Individuals for Allegedly Defrauding Investors

The SEC has filed claims against a group of individuals with a scheme alleged to have illegally taken hundreds of thousands of dollars from a group of investors.  The SEC has charged Jeffery D. Smith (“Smith”) and Joseph Carswell (“Carswell”) … Continue reading

SEC Announces Settlement Relating to Alleged “Boiler Room”

Alleged “Boiler Room” The SEC claimed that Craig Sizer and 12 others, mostly from South Florida, defrauded investors out of approximately $23 million through an alleged “boiler room scheme.”  Sizer co-founded Sanomedics and Fun Cool Free, Inc.  He hired Michael … Continue reading

SEC files complaint against James C. Cope, Esq. for insider trading

The Securities and Exchange Commission has filed a complaint against James C. Cope for insider trading.  Cope, a Tennessee attorney and former board member of Pinnacle Financial Partners (PNFP), allegedly used his board position to obtain a huge financial gain … Continue reading

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