A National Securities Arbitration & Investment Fraud Law Firm
In 2020 alone, Todd Petersen was the subject of eight investor arbitration claims which relate to the sale of diamonds. Many of these claims have been settled, and Petersen’s employer, SCF Securities, Inc., discharged him, alleging Petersen “misstated and/or omitted material facts and circumstances regarding an outside business activity.” Todd…
Peter Ianace (Peter Vincent Ianace CRD# 3238078) was a registered broker and investment adviser who most recently was registered with Wells Fargo Clearing Services, but spent 2011-2019 as a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas. Ianace has been in the securities industry since…
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. Volpe began his career in the securities industry in 1996. David Volpe Discharged From Firms For Improper Private…
Jimmie Summers (Jimmie Darrel Summers CRD#: 1467286, aka, Jim Summers, Jimmy Daryl Summers, Jimmy Summers) is a former registered broker and investment advisor. His last known employer was Waddell & Reed (CRD#:866) of Tulsa, OK. Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc.…
If you purchased investor “units” in a conservation easement offered by EcoVest or otherwise, you may face potential tax penalties and repayment of tax deductions to the IRS as a result of a government crackdown on what the IRS categorizes as an abusive tax scheme. To discuss your legal rights…
Silver Law Group is investigating claims on behalf of investors who invested in conservation easement syndicates such as EcoVest Capital. The EcoVest investments were recommended by investors’ financial advisors as investments that could substantially lessen their tax liability. Unfortunately, investors may face lawsuits from the Internal Revenue Service (IRS) and…
Trusts can be a significant part of your estate plan. Some investors may decide to transfer securities into a trust, or leave them as part of their estate to their beneficiaries. Assets that are transferred into a trust are taken out of the estate for the probate process. The expectation…
Most stockbrokers and other financial service representatives genuinely care about their clients. Unfortunately, there are some in the mix who see an elderly client as a target-rich environment, and the abuse frequently isn’t detected until it’s too late. They take advantage of a client who may not completely understand what’s…
You saved and invested, planning for your future, and your family. Finding a skilled broker and/or investment advisor helped you invest your money well, and your accounts look healthy. Until the day you discover that your funds aren’t actually invested, but gone. This has happened to a number of people,…
The SEC has issued an investor alert for people regarding fraudsters posing as brokers and investment advisors. We’ve previously discussed brokers and investment advisors and their different schemes for defrauding clients—especially long-term clients. But as the SEC warns, there’s more to it than that, and a tactic you may not…