SEC Complaint Archives - Securities & Investment Lawyer

SEC Proposes Action Against Richard Michalski

Mar 17, 2023 Regulation Best Interest

Richard Michalski (CRD #: 4588706), a broker registered with Laidlaw & Company (UK), was recently investigated by the SEC, according to his BrokerCheck record, accessed […]

Terrence Reagan Named in Pending Civil Complaint

Mar 9, 2023 SEC Complaint

Terrence Reagan (CRD #: 2672751), a broker formerly registered with Network 1 Financial Securities, is involved in a pending lawsuit, according to his BrokerCheck record, […]

SEC Files Complaint Against Gabriel Edelman

Nov 9, 2022 SEC Complaint

Gabriel Edelman (CRD #: 5778763), a broker formerly registered with Spartan Capital Securities, is involved in a pending SEC complaint, according to his BrokerCheck record, […]

SEC Names Joseph Walsh in Complaint Against Alpine Securities Corporation

Oct 24, 2022 SEC Complaint

Joseph Walsh (CRD #: 1519958), a broker registered with Alpine Securities Corporation, is named in a pending SEC civil complaint, according to his BrokerCheck record, […]

SEC Orders Daniel Ives to Cease and Desist

Aug 12, 2022 SEC Complaint

Daniel Ives (CRD #: 4205842), a broker registered with Wedbush Securities, was the subject of a recent SEC action, according to his BrokerCheck record, accessed […]

Anthony Prieto Allegedly Defrauded Investors Through Sham Non-Profit

Jun 13, 2022 SEC Complaint

Anthony Prieto (CRD #: 2783560), a previously registered broker, is the subject of an SEC civil action, according to his BrokerCheck record, accessed on June […]

First Capital REIT: Kurta Law Investigates Investor Fraud Allegations

Apr 8, 2022 Articles

Kurta Law is representing multiple investors who invested in First Capital REIT. Unfortunately, these clients lost their entire investment after First Capital REIT disappeared from […]

Ronald Molo Named in SEC Complaint Following Conversion Allegations

Feb 16, 2022 Elder Financial Abuse

Ronald Molo (CRD #:4371241), a broker formerly registered with Edward Jones, was named in SEC Complaint, according to his BrokerCheck Record accessed on January 20, […]

Jon McGraw Named in SEC Complaint

Feb 15, 2022 SEC Complaint

Jon McGraw (CRD #:2056654), a broker formerly registered with Purshe Kaplan Sterling Investments, was named in an SEC complaint according to his BrokerCheck Record accessed […]

Lina Garcia Named in SEC Complaint Following Cherry-Picking Allegations

Feb 15, 2022 SEC Complaint

Lina Garcia (CRD #:4447599), a broker formerly registered with Insigneo Securities, is under investigation by the SEC, according to her BrokerCheck Record accessed on January […]