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 …

Safety Technologies LLC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Enters Final Judgment Against Safety Technologies LLC On April 4, 2017, the U.S. District Court for the District of Connecticut entered a final judgment by consent against Thomas Connerton and Safety Technologies LLC (“Safety Technologies”) for defrauding investors by misleading them to invest in …

Upstate Law Group, LLC; Strategic Marketing Innovators, Inc.; Performance Arbitrage Company, Inc.; and Financial Products Distributors, LLC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Files Subpoena against Upstate Law Group, LLC; Strategic Marketing Innovators, Inc.; Performance Arbitrage Company, Inc; and Financial Products Distributors, LLC The Securities and Exchange Commission announced that it has filed …

Contrarian Investments, LLC – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Contrarian Investments, LLC On September 7, 2018, the Securities and Exchange Commission (SEC) charged Contrarian Investments, LLC (Contrarian) with violating the federal securities laws. Contrarian was one of a number of organizations formed pursuant to a 2015 Nevada state law that, for the …

Nevada Sports Investment Group, LP – Goodman & Nekvasil P.A. May Recover Investor Losses Securities and Exchange Commission Charges Nevada Sports Investment Group, LP On September 7, 2018, the Securities and Exchange Commission charged Nevada Sports Investment Group, LP (Nevada Sports) with violating the federal securities laws. According to the SEC, Nevada Sports was one of a number of organizations …

Chuck Dixon – Charles Albert Dixon Jr., Barred from Securities Industry and Discharged from Morgan Stanley – Goodman & Nekvasil P.A., May Recover Investor Losses Chuck Dixon was licensed with Morgan Stanley from 2009 to 2017. Chuck Dixon was discharged from Morgan Stanley on March 21, 2017. Morgan Stanley reported to FINRA that there were allegations regarding Chuck Dixon’s conduct …