UBS Yield Enhancement Strategy (YES) Investigation — Undisclosed Risks, Unsuitability, Overconcentration Concerns

UBS YES Investors Have Reported Substantial Losses; Securities Lawyers Preparing to Seek Compensation for Investor Losses UBS Financial Services, a multinational financial services firm, sold the Yield Enhancement program to investors as a way to seek relatively safe increased returns in their portfolios. Investors are now seeing substantial losses in their YES portfolios and are… Read more »

Shopoff Securities, Inc., William Shopoff, & Stephen Shopoff— Alleged Involvement with the Sale of Fraudulent Promissory Note Investments to Investors

Shopoff Securities, Inc., William A. Shopoff, & Stephen R. Shopoff Were Allegedly Fraudulently Involved with the Sale of Promissory Note Investments to Investors Shopoff Securities, Inc., William Shopoff, and Stephen Shopoff allegedly were involved with the fraudulent sale of promissory note investments to investors, according to a Pending Regulatory Action disclosed on William Shopoff’s FINRA… Read more »

GPB Capital Holdings—Investigation of Sales Practices

GPB Capital Holdings Reportedly Halted Sales to Review Accounting; Investor Rights Lawyers Investigating  GPB Capital Holdings, a New York-based alternative asset management firm that raised money from investors through private placement sales by broker-dealer representatives, halted its sales to review its accounting, according to reports published last year by an industry publication under review by… Read more »

Dean Grant— 3 Counts of Alleged Insurance Fraud

Dean Harrison Grant Reportedly Handed Himself over to authorities at the Baldwin County Sheriff’s Office; Grant Facing Charges of $600K Insurance Fraud  Dean Grant, 53, and of Milledgeville, Georgia, surrendered to authorities at the Baldwin County Sheriff’s Office on Monday, February 4th, 2018, according to Reports from Georgia under review by investor rights attorney Alan… Read more »

James Flynn— Alleged Misrepresentation & Unsuitable Investments

James Travis Flynn Allegedly Made Misrepresentation & Unsuitable Investments with Damages of $100K Requested; Flynn Facing 8 Pending Customer Disputes James Flynn allegedly engaged in acts of misrepresentation and made unsuitable investments, according to a pending Customer Dispute filed on Flynn’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca. The aforementioned dispute… Read more »

Brian Brandenburg— Alleged Sales of Non-exempt Securities

Brian Brandenburg, of Dayton, Ohio, Allegedly Sold Unregistered Non-exempt Securities; Damages of $245,000 are Requested Brian Brandenburg, of Dayton, Ohio, allegedly sold unregistered non-exempt securities, according to a pending Customer Dispute filed on Brandenburg’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca. Said dispute was filed on August 29, 2018, FINRA states,… Read more »

Gaylen Rust & Rust Rare Coin, Inc.— Alleged Fraudulent Silver Trading Scheme

Gaylen Dean Rust, a Utah Rare-coin Dealer & Rust Rare Coin, Inc. Allegedly Operated a Silver Pool Scheme Which Defrauded Hundreds of Investors  Gaylen Rust and his firm, Rust Rare Coin Inc. allegedly defrauded hundreds of people in Utah and across the country in a precious-metals trading scheme called the Silver Pool, according to a… Read more »

Stryker V40 hip replacement implants update: settlement reached in hip implant litigation

On Friday November 2, 2018, Judge Harz of the Superior Court of New Jersey along with Judge Talwani of the U.S. District Court for the District of Massachusetts announced the settlement of the Stryker LFIT V40 hip replacement implants. The settlement which was reached between Stryker Corp. and National Plaintiff’s Leadership counsel includes cases pending… Read more »

Sean Kelly— Alleged Investment Scheme

investment fraud

Sean Kelly under SEC Investigation after Allegedly Running $1 Million Lion’s Share Fraud Scheme Targeting the Elderly, Disabled, Widowed, & Veterans Sean Kelly, a 49-year-old stockbroker from Marietta, Georgia, allegedly ran a fraud scheme which raised up to $1 million from 12 investors under the purported pretense of his Lion’s Share businesses, according to an… Read more »