EagleBank and Eagle Bancorp agreed to pay more than $9.7 million under a DOJ non-prosecution agreement involving alleged Bank Secrecy Act violations, AML compliance failures, and a long-running check-kiting scheme.
Hector Mena, a financial professional associated with Cetera Wealth Services, is the subject of a pending customer dispute that alleges unsuitable investment recommendations and seeks approximately $700,000 in damages. The dispute is reported in public sources and should be treated as an allegation, not a proven finding. According to his public BrokerCheck profile (https://brokercheck.finra.org/individual/summary/5400535), investors [...]
John Blanck, an investment adviser representative with Success Wealth Management, is linked to a pending $9 million customer dispute involving allegations tied to annuity and insurance-related products.
A major FINRA arbitration ruling involving Axos Clearing and the now-defunct Worden Capital Management highlights how clearing firm liability may become an important recovery path for defrauded investors.
The SEC has filed a securities fraud case involving a Sarasota-based firm, its principal, and an attorney accused of helping operate an alleged high-yield investment program that raised more than $6 million from investors. According to the SEC, Sarasota resident Michael Peter Gianoplus and Gianoplus Consortia LLC allegedly offered investors access to an exclusive high-yield [...]
The SEC obtained a final judgment against Michael Bowen in an oil-and-gas investment fraud case involving Cannon Operating Company, North Texas Minerals, Chol Kim, and William Glen Baker.
Recent SEC and DOJ matters show how real estate-backed private offerings, promissory notes, Reg A offerings, and private real estate deals can expose retail investors to fraud, undisclosed commissions, fake distributions, and substantial losses.
Sonn Law Group represents investors nationwide, including investors in Texas, in matters involving securities fraud, broker misconduct, FINRA arbitration, unsuitable investment recommendations, excessive trading, private placements, promissory notes, Ponzi schemes, and alternative investment losses. Texas has become an important market for investor-protection monitoring because many securities matters now involve multi-state sales networks, Texas-based promoters, national [...]
The SEC has filed actions against Sanders Family Office, Margaret Sanders, and Francisco Herrera for allegedly selling promissory notes connected to a $56 million South Florida real estate Ponzi scheme.
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