The Securities and Exchange Commission filed a complaint, February 21, 2014, in the U.S. District Court for the Southern District of Ohio, alleging Charles P. O'Brien, from 1998 - 2008, engaged in a fraudulent scheme to misappropriate money from his client--over $298,000. The complaint alleged O'Brien had issued checks in the client's name from the client's account, had them sent to a a post office box that he controlled, and then deposited the checks into the bank account in the client's name. Allegedly, O'Brien withdrew money from his client's bank account, and used the money for personal expenses.
O'Brien has agreed to settle the charges, without admitting or denying the allegations in the Commission's complaint.
If you have experienced losses due to your stock broker/financial advisor’s recommendations, or feel your funds may have been misappropriated by your broker, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
In a complaint dated December 15, 2025, the Financial Industry Regulatory Authority (FINRA) alleges Spartan Capital Securities, LLC, and five individuals, for more than four years, “defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm. Spartan’s business model depended on this misconduct – approximately two thirds of […]
Soreide Law Group has been contacted by investors who purchased SCETs (syndicated conservation easements) from, RUSSELL SCOTT BLUM (RUSSELL S BLUM). Blum has been registered as a broker with INTERNATIONAL ASSETS ADVISORY, LLC of Indialantic, Florida, since 9/24/2018, and as an investment advisor with INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC of Vero Beach, Florida, since 10/23/2018. […]
Versity Investments LLC, known now as Crew Enterprises LLC, and their principals are facing a $56 million lawsuit alleging fraud and the misappropriation of investor funds. Allegations are alleging investor funds were diverted to finance other real estate transactions and for personal use by the co-defendants. On July 17, 2025, Crew Enterprises was given a $47 […]
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