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Articles by Eccleston Law
Former Wells Fargo Broker Charged with 128 Felony Counts in Connection with Orchestrating Ponzi Scheme - Blog - Eccleston Law
From the Desk of Jim Eccleston at Eccleston Law LLC: Former Wells Fargo broker, John G. Schmidt of Ohio has been charged with 128 felony counts, including 124 counts of forgery, in connection with perpetrating a $1 million Ponzi scheme. According to prosecutors, Schmidt defrauded a number of customers, many of whom were elderly or had dementia.
Pennsylvania Investment Advisor Pleads Guilty in $4.5 Million Fraud Scheme
From the Desk of Jim Eccleston at Eccleston Law LLC: Investment advisor Douglas P. Simanski has pleaded guilty in federal court to charges of securities fraud, wire fraud, and filing false income tax returns. According to federal prosecutors, Simanski, who was employed as an investment advisor at Next Financial Group, Inc. from February 2002 to May 2016, devised and executed a scheme to fraudulently obtain approximately $4.5 million from various investors.
SEC Proposes Amendments to the Rules Governing its Whistleblower Program - Blog - Eccleston Law
The SEC’s whistleblower program has been an important tool for individuals since 2011. The awards are distributed from an investor protection fund established by Congress. To obtain an award, the whistleblower’s information must be unique, useful and lead to a successful enforcement action. After nearly seven years of experience administering the whistleblower program, on June 28, 2018, the SEC proposed amendments to the rules governing its whistleblower program.
Former North Dakota Investment Adviser Sentenced to 11 Years in Prison for Orchestrating a Ponzi Scheme - Blog - Eccleston Law
Barred North Dakota investment adviser, Kevin Wanner has been sentenced to 11 years in prison after pleading guilty to mail fraud and money laundering. More specifically, between 2001 and 2015, Wanner, who was employed by Minneapolis-based Questar Capital Corporation at the time, sold fictitious certificates of deposit and unregistered interests in pooled investment vehicles totaling $5 million to at least 66 clients.
FINRA Arbitrator Awards Expungement of 24 Annuity Complaints from Broker’s Record
A former Securities America broker has won his expungement request to clear his record of 24 customer complaints tied to a single annuity product. According to the arbitration filing, the former broker sold the American Skandia Annuity to many customers which included, among other features, an attractive death benefit payable up to age 90.
Salas Wang LLC, Eccleston Law, LLC, and Law Office of Christopher J. Gray, P.C. Announce Shareholder Settlement with Apple Hospitality REIT, Inc.
SUMMARY NOTICE OF (I) PENDENCY OF CLASS ACTION, CERTIFICATION OF SETTLEMENT CLASS, AND PROPOSED SETTLEMENT; (II) SETTLEMENT HEARING; AND (III) MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES To: ALL PERSONS IN THE UNITED STATES WHO ACQUIRED SHARES OF APPLE REIT SEVEN AND/OR APPLE REIT EIGHT PURSUANT TO THE APPLE REITS' DIVIDEND REINVESTMENT PLANS (DRIPs) BETWEEN JULY 17, 2007 AND JUNE 27, 2013 INCLUSIVE. PLEASE READ THIS NOTICE CAREFULLY.
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