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Securities Fraud Attorney Peter C. Rageas, P.C.
West Michigan Financial Advisor Guilty of Embezzling from Clients
On January 23, Jaime Westenbarger, who founded Forest Hills Financial, a financial services firm based in Ada, Michigan, pleaded guilty in Kent County Circuit Court to embezzling client funds. Westenbarger pleaded guilty to two count of embezzlement over $100,000,...
The Failure of the Structured Note. How Risky are They?
A Structured Note is a debt security issued by financial institutions. Its return is based on equity indexes, single equity, a basket of equities, interest rates, commodities, or foreign currencies. The performance of a Structured Note is linked to the return on an...
Risky Stock Causes Losses For Many Investors
Jumia Technologies (JMIA) is an African e-commerce online retailer technology company. It is a company built around a marketplace, logistics service and payment service. The logistics service enables the delivery of packages through a network of local partners while...
JP Morgan Chase Client with Dementia Loses $50 Million
Peter Doelger founded a Boston-based company in the 1970s which helped homeowners nationwide lower their energy bills through a network of contractors tasked with focusing on the homeowners’ attic insulation and windows. Honeywell bought the business in 1995 for an...
SEC Charges Kraken in Violation of US Securities Law
Kraken Charged by the SEC with Operating its Crypto Trading Platform in Violation of US Securities Law Kraken advertises itself as “the crypto exchange for everyone” that allows customers to buy crypto with “peace of mind.” The company website boasts of a quarterly...
FINRA Expels Monmouth Capital Management for Rules Violations
FINRA Expels Monmouth Capital Management for Rules Violations on Gold Star Family Accounts and Other Accounts Monmouth Capital Management was founded in 2018 in Holmdel, New Jersey, according to a Linked-In profile that lists the company as having 2-10 employees and 6...
Podcast Host Cash Flow King Charged by SEC
Podcast Host Cash Flow King Charged by SEC with Operating a Ponzi Scheme A podcast is similar to a radio talk show program but it is distributed in the form of a digital audio file that can be downloaded from the internet to a computer or mobile device. Podcasts are...
Impact Theory, a Media and Entertainment Company, Issued Cease and Desist Order by SEC
One of the most obvious warning signs that an investment may not be legitimate is the promise of high rates of return on the investment. According to Todd R. Tresidder, a Financial Mentor blogger and millionaire through investments, "above market returns are the...
Merrill Lynch to Pay $12M for Failing to File Suspicious Activity Reports
When criminals receive money from an illegal transaction they often move that "dirty" money into the financial system, either through depositing the illegal gains into a bank or credit union or investing the money with an investment firm or through a number of other...
Merrill Lynch Fails to Disclose Foreign Exchange Fees to Clients
Merrill Lynch Agrees to Pay $9.5 Million to Settle SEC Charges of Failing to Disclose Foreign Exchange Fees to Clients On April 3 the U.S. Securities & Exchange Commission (SEC) announced that Merrill Lynch, Pierce, Fenner & Smith Inc. had agreed to settle...
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