Insights
April 6, 2021
The SEC has charged Aequitas Capital Management and a number of its executives with allegedly running a Ponzi scheme, which could have defrauded Oregon investors out of $350 million. The Frankowski Fi...
April 6, 2021
The SEC has announced it will bring charges against the Woodbridge Group and its founder, Robert Shapiro, for a $1.2 billion Ponzi scheme. The Frankowski Firm is currently accepting cases on behalf of...
August 8, 2019
Robert H. Shapiro, the former CEO of the Woodbridge Group of Companies, pleaded guilty to running a $1.3 billion Ponzi scheme that defrauded over 7,000 investors. The Woodbridge Group of Companies has...
August 2, 2019
Hector May, the head of suburban New York registered investment advisory firm Executive Compensation Planners, has been sentenced to 13 years in prison and ordered to pay $8.4 million in restitution f...
July 21, 2019
GPB CAPITAL HOLDINGS The Frankowski Firm is investigating claims related to the GPB Capital Holdings family of investment funds. Last month, GPB Capital reported “ significant losses ” in its funds wi...
May 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $1.4 million award against Pershing, LLC for its role as a custodian and clearing firm in the R. Allen Stan...
April 30, 2019
The Securities and Exchange Commission has charged Christopher Dougherty and his firm C&D Wealth Management, of the San Diego area, with running a Ponzi scheme which defrauded investment advisory ...
April 23, 2019
Three executives for the Woodbridge Group of Companies, Robert H. Shapiro, Dayne Roseman, and Ivan Acevedo, have been arrested and charged with conspiring to commit wire and mail fraud as well as mone...
March 26, 2019
Hector May Ponzi Scheme Results in Guilty Plea and Lawsuit Former Securities America, Inc. broker Hector Anthony May, of New City, NY, pleaded guilty last December to running a $7.9 million Ponzi sche...
February 2, 2019
The Woodbridge Group of Companies has appeared frequently in this blog space related to the ongoing investigations and penalties involving its vast Ponzi scheme operation. Its legal woes have continue...
November 2, 2018
According to court documents, Robert Shapiro, the former CEO of Woodbridge Group of Companies, has agreed to pay $120 million to the Securities and Exchange Commission to settle allegations that he de...
July 27, 2018
SEC Charges Daniel Rudden The Securities and Exchange Commission has frozen the assets of Daniel B. Rudden and his company, Financial Visions, of the Denver, Colorado area, following criminal charges ...
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