The Eliv Group, LLC and Scott Valente Charged by the SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges The Eliv Group, LLC and Scott Valente The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser based in Albany, N.Y., who is charged with …

Irving Place III SPV, LLC,  and W.W. Caspersen Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Andrew W.W. Caspersen and Irving Place III SPV, LLC The Securities and Exchange Commission charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose …

Dean Watson – Henry Al Dean Watson, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Dean Watson was licensed with J.J.B. Hilliard, W.L. Lyons, LLC from 2012 to 2016. Dean Watson was barred from the securities and investment banking industry on January 17, 2017. FINRA reports that Dean Watson consented to the sanction and to …

Interactive Media Solutions, LLC and John Anthony Giunti Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Interactive Media Solutions, LLC and John Anthony Giunti On July 25, 2017, the Securities and Exchange Commission charged Interactive Media Solutions, LLC and its sole principal John Anthony Giunti with perpetuating a securities offering fraud. …

Green Tree Investment Group, Inc. and Jeffrey B. Mallett Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Green Tree Investment Group, Inc. and Jeffrey B. Mallett On November 17, 2017, the Securities and Exchange Commission charged Jeffrey B. Mallett of Mason, Texas and his company, Green Tree Investment Group, Inc., for …

Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott, Charged by SEC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott On October 17, 2017, the Securities and Exchange Commission charged mining company Rio Tinto and two former top executives …

Green Box NA Detroit, LLC and Ronald Van Den Heuvel – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Green Box NA Detroit, LLC and Ronald Van Den Heuvel The Securities and Exchange Commission has charged a Wisconsin businessman with stealing millions of dollars of investor funds which he used to purchase a Cadillac Escalade …

Ed Daniel – Edward Oda Daniel, Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses Ed Daniel was licensed with Wells Fargo Advisors, LLC from 2009 to 2016. Ed Daniel was barred from the securities and investment banking industry on August 15, 2018. FINRA reports that Ed Daniel consented to the sanction and to the entry …

Platinum Management (NY) LLC and/or Platinum Credit Management, L.P. – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Platinum Management (NY) LLC, Platinum Credit Management, L.P., et. al The Securities and Exchange Commission announced that it charged the founder of Platinum Partners and the investment managers of two of its flagship hedge funds with conducting …

Onix Capital LLC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Onix Capital LLC and Alberto Chang-Rajii The Securities and Exchange Commission announced fraud charges and an asset freeze against Miami Beach-based asset management company Onix Capital LLC and owner Alberto Chang-Rajii, a Chilean national who fled the U.S. earlier this year. The SEC …