Insights
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...
April 11, 2019
One of UBS’s former top brokers in Puerto Rico, Jose Ramirez, has been sentenced to one year and a day following his guilty plea in a bank fraud case involving Puerto Rico closed-end bond funds. Accor...
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...
March 15, 2019
The Securities and Exchange Commission has entered an Order permanently barring Atlas Capital Management adviser Craig Arsenault, of Laguna Niguel, California, for defrauding his clients. The SEC Comp...
February 27, 2019
A federal jury in Chicago, IL has entered a guilty verdict against Shawn Baldwin , a former owner of various investment firms in the Chicago area, on charges that he swindled at least fifteen investor...
February 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) awarded two retired schoolteachers a combined $2.38 million in an arbitration based on the teachers’ claims of excessive ...
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...
January 29, 2019
The Securities and Exchange Commission (“SEC”) has charged Atlanta, Georgia based investment advisor Joseph A. Meyer, Jr. and his company, Statim Holdings, with investment fraud of a private fund they...
December 4, 2018
Investors in United Development Funding (UDF) Real Estate Investment Trusts (REITs) have lost approximately $1 billion since the FBI raided the UDF offices and the REITs began to collapse in early 201...
November 13, 2018
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over $360,000 , plus interest, against Wells Fargo Advisors, LLC following a customer arbitration...
November 7, 2018
Former NEXT Financial advisor Douglas Simanski, of Johnstown, Pennsylvania, will pay $3.9 million to settle SEC charges against him and will plead guilty to criminal charges filed against him in the W...
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...
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