Articles Posted in Uncategorized

Apple Reits 6, 7, 8 and 9 Paid Only a Fraction to Investors Seeking Redemptions Through David Lerner
The Doss Firm

Over the last six weeks, we have spoken to over sixty (60) nervous investors with concerns about the recent events and negative press swirling around FINRA’s complaint filed against David Lerner and the Apple REIT investments. Most, if not all of the those investors indicated that they intended immediately to redeem their shares in Apple…

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Securities and Exchange Commission Has New Plans to Catch Investment Scammers
The Doss Firm

According to the Los Angeles Times, Robert Khuzami, the Securities and Exchange Commission’s (SEC) director of enforcement, has initiated a new whistle-blower program to attempt to catch fraudsters in the act. This program hopes to stop the fraudster before they have caused too much damage and to attempt to seize the most assets possible for returning…

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SEC Charges Florida Investment Advisors in Hedge Fund Fraud
The Doss Firm

According to the Securities and Exchange Commission (SEC), a father-son investment team has been charged with securities fraud for their role in an extensive hedge fund fraud. It is alleged by the SEC that these men, Neil V. Moody and his son, Christopher Moody, both investment advisers in Sarasota, Florida, mislead investors concerning the financial condition of…

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North Carolina Couple Charged in Connection With Investment Scheme
The Doss Firm

The Securities and Exchange Commission (SEC) has charged a North Carolina couple with an investment scheme that allegedly scammed approximately 500 investors out of $32.5 million dollars. It is alleged that Sidney Hanson and his wife Charlotte Hanson promised extraordinarily high returns to investors that they met at church gatherings and in other face-to-face meetings. These investors…

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Morgan Stanley Penalized $7 Million for Failing to Adequately Supervise Brokers
The Doss Firm

According to the Associated Press, Morgan Stanley has agreed to pay more than $7 million to settle regulatory claims of misconduct, arising from the actions of two former brokers, Michael J. Kazacos and David M. Isabella. These brokers were employees of Morgan Stanley’s Rochester branch office. It is said that the settlement resolves claims that Morgan…

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