UCB Financial Advisors Inc. Charged by SEC with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission has obtained an asset freeze and other emergency relief, and filed fraud charges, against a Miami, Florida investment professional and two investment firms for engaging in an alleged “cherry picking” scheme in …

Princeton Alternative Funding and Microbilt Corporation Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission announced charges against Princeton Alternative Funding LLC (PAF), Microbilt Corporation, Philip N. Burgess, Jr., Microbilt CEO Walter Wojciechowski, and PAF CEO John Cook, Jr. for fraudulently raising over $73 million from investors …

PED Index Fund LP Founder Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission announced charges against investment adviser John Robert Jones, Jr. in connection with his alleged fraudulent offer and sale of two private unregistered funds he founded and controlled – PED Index Fund, L.P. and …

Barrington Asset Management Inc. Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission today filed charges against Chicago, Illinois-based Barrington Asset Management, Inc. and its co-owner and chief operating officer, Gregory D. Paris, for perpetrating a multi-year cherry-picking scheme that defrauded Barrington clients. The SEC’s complaint, filed …

SkiHawk Capital Partners LLC and The Convergence Group Charged with Fraud by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   The Securities and Exchange Commission charged investment advisers SkiHawk Capital Partners, LLC and The Convergence Group, LLC (TCG), along with the owners and managers of those advisers, Clement Borkowski, Sean Hawkins, and Joseph …

Michael Thomas Carl – Financial Advisor/Broker Michael Thomas Carl Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses Michael Thomas Carl CRD #3023492 Michael Thomas Carl was a previously licensed financial advisor with Charles Schwab & Co. According to FINRA, Michael Thomas Carl was barred by FINRA in June 2021. According to FINRA: Carl consented to the …

Medsis International Inc. Charged with Fraud by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:  The Securities and Exchange Commission today charged Medsis International, Inc., a data software and financial technology company, Joshua Dax Cabrera, Medsis’ CEO, and Paul Hess, an individual who raised investor funds for Medsis, with fraud and conducting an unregistered …

Willam Wright Jr. – Financial Advisor/Broker William Wright Jr. Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses William Wright Jr. CRD #3048195 William Wright Jr. was a previously licensed financial advisor with National Securities Corporation. According to FINRA, William Wright Jr. was barred by FINRA in August 2021. According to FINRA: Wright consented to the sanction …

deeproot Funds, LLC Founder Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses According to the SEC:   On August 20, 2021, the Securities and Exchange Commission charged a San Antonio, Texas-based investment adviser with operating a years-long fraudulent scheme that raised approximately $58 million from nearly 300 investors in two investment funds. The SEC’s complaint alleges …

John Justin Woods – SEC Alleges Financial Advisor is Running Ponzi Scheme| Recover Investment Losses John Justin Woods CRD #1949233 According to the SEC: John Woods has been running a massive Ponzi scheme for over a decade. As of the end of July 2021, investors in the Ponzi scheme were owed over $110,000,000 in principal.  There are more than 400 …