Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud James Polese (CRD#: 2636427, Boston, Massachusetts), who is a prior Morgan Stanley investment advisor, is going to prison for committing fraud. Polese pleaded guilty to eight counts of felony bank fraud, one count of felony conspiracy, one count of investment adviser fraud, and one count of […]

Soreide Law Group Investigating Payson Petroleum Fraud Allegations Soreide Law Group is investigating claims on behalf of investors who have been sold investments in Payson Petroleum (Grayson County, Texas) – a company founded by Matthew Carl Griffin to pioneer oil investment opportunities for independent investors. Payson Petroleum investors are at risk of losing their investments […]

Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal Alliance Associates, Inc. investment adviser representative, pleaded guilty to a United States Attorney for the District of Massachusetts’ criminal charges including investment adviser fraud, wire fraud and identify theft. Kitts admitted to her role in defrauding […]

IFS Broker Richard Grant Cody Pleads Guilty To Fraud Charges Richard Grant Cody (CRD#: 2794558, Spring Lake, New Jersey), a former IFS Securities registered representative, has pleaded guilty to the United States Attorney for the District of Massachusetts’ charges of Cody committing investment advisor fraud against retired investors in the state of Massachusetts, and making […]

Western International Securities Broker Dawn Bennett Guilty Of Fraud Dawn Bennett (CRD#: 1567051, Chevy Chase, Maryland) has been a registered representative of Western International Securities, Inc. between October 1, 2009 and December 1, 2015. On October 17, 2018, the United States Attorney’s Office for the District of Maryland announced that a federal jury found Bennett […]

Did A Broker Sell You PixarBio Corporation Investments? Soreide Law Group is investigating claims on behalf of investors who have been sold PixarBio Corp. by a broker or financial advisor. PixarBio is a biotechnology company headquartered in Fort Lee, New Jersey who purports to be developing “NeuroRelease,” a proprietary method of treating post-operative pain through […]

SEC Charges Midtown Partners Broker Kevin Gillespie With Fraud Kevin Patrick Gillespie (CRD #2485051, New York, New York) has been a registered representative and part-owner of Midtown Partners from April 27, 2016 to August 10, 2018. He is also the chief executive officer of Arias Intel Corp. (ASNT) – a digital media company headquartered in […]

Soreide Law Investigating Claims On Behalf Of 1 Global Investors Soreide Law Group is investigating claims on behalf of those who invested in 1 Global Capital, LLC – a private company headquartered in Hallandale Beach, Florida. On September 7, 2018, the Securities and Exchange Commission (“SEC”) filed a Complaint against 1 Global and its previous […]

SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman Michael Allan Bressman (CRD#: 873973, Chatham, New Jersey) has been a registered representative of FCG Advisors, LLC from February 4, 2000 to May 16, 2018. The Securities and Exchange Commission (“SEC”) filed a Complaint against […]