ASI Capital Income Fund, LLC, Ordered to Cease and Desist by State of Michigan | Goodman & Nekvasil P.A. May Recover Investor Losses According to the State of Michigan ASI Capital Income Fund, LLC is a Colorado-organized limited liability company headquartered in Colorado Springs, Colorado. Respondent is not registered in any capacity pursuant to the Securities Act, nor has it …

FFH Holdings, LLC and John Rallo Ordered to Cease and Desist | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE STATE OF MISSOURI: THE COMMISSIONER FURTHER DETERMINES that Respondent FFH Holdings LLC transacted business as an unregistered, non-exempt broker-dealer in the State of Missouri by engaging in the business of effecting transactions in securities for the account …

Gabriel Ramos and Miguel Miranda Jr. – Charges Filed on Ponzi Scheme | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO COURT DOCUMENTS: Based on the information gathered to date, in 2015 and 2016, Gabriel Ramos and Miguel Miranda raided more than $500,000 as part of a scheme that defrauded at least 11 investors, including residents of Franklin …

Howard Allen – Howard Joseph Allen III, Financial Advisor Charged by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses Howard Allen CRD #2033586 ACCORDING TO THE SEC: On February 3, 2016, the SEC charged a Manhattan-based lending company (“Company”) and its owner with repeatedly lying to investors purchasing high-yield securities. The SEC also charged a brokerage firm (“Firm”) …

Kerri Wasserman – Arbitration Claims Filed Against Financial Advisor Kerri Wasserman | Goodman & Nekvasil P.A., May Recover Losses Kerri Wasserman CRD #2376090 Kerri Wasserman is currently licensed with Portfolio Advisors Alliance, LLC in New York. According to Kerri Wasserman’s CRD, two arbitration claims were filed alleging failure to supervise for events during the period July 2013 to August 2017 …

Raeann Gibson – Director of Operations for Dominion Investment Group, LLC Charged with Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses Raeann Gibson – Director of Operations of Dominion Investment Group, LLC Charged with Fraud   ACCORDING TO THE U.S. District Court for the Eastern District of Virginia: Darly Bank created, owned, and operated Dominion Private Client Group, …

Collector’s Café CEO Charged with Fraud by SEC | Goodman & Nekvasil P.A., May Recover Losses SEC Charges CEO of Collector’s Café with Fraud According to the SEC: The Securities and Exchange Commission yesterday filed fraud charges against Collectors Café, an online auction portal, and its chief executive officer, Mykalai Kontilai, for misappropriating over $6 million of investor funds in …

DS VI, LLC, DS VII, LLC, DS X, LLC and DS XII, LLC Fined by State of Indiana | Goodman & Nekvasil P.A. May Recover Investor Losses State of Indiana Fines DS VI, LLC, DS VII, LLC, DS X, LLC and DS XII, LLC According to the State of Indiana Securities Division: The Office of the Indiana Secretary State, Securities …

John Vedovino – John Anthony Vedovino, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses John Vedovino, John Anthony Vedovino CRD #6113995 John Vedovino formerly licensed with Wells Fargo Advisors, LLC in New Jersey. According to John Vedovino’s CRD, John Vedovino was suspended from the securities industry in July 2017. According to FINRA: John …

David Bolton – David Jonathan Bolton, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses David Bolton CRD #5038018 David Bolton was previously licensed with Thurston, Springer, Miller, Herd & Titak, Inc. and Signator Investors, Inc. According to David Bolton’s CRD, David Bolton was barred from the securities industry in September 2018.  David Bolton …