Joe Peiffer was recently quoted in an article that appeared in the magazine Financial Planning. The article concerned brokers’ meaningless self-designations as “retirement specialists.” LPL Financial recently paid a fine of $250,000 in relation to ten of its Massachusetts-based advisers employing the title of “Retirement Income...
For the fourth consecutive year, Adam Wolf was a featured speaker at the annual convention of the American Association for Justice. This year’s conference, attended by attorneys from around the world, took place in Montreal, Canada. Adam provided a review of the U.S. Supreme Court’s October...
We are pleased to announce that Joe Peiffer, the managing member of Peiffer Rosca Wolf, has been selected by his peers for inclusion in the 21st Edition of The Best Lawyers in America in the practice area of Commercial Litigation....
San Francisco, CA - Today, the law firm of Peiffer Rosca Wolf Abdullah Carr & Kane, LLP filed a brief in the United States Supreme Court on behalf of its client, the City of Reno. The case arises out of a FINRA arbitration that the City...
We are delighted to announce that our firm family has expanded! After Adam Wolf’s law firm, Wolf Legal, P.C., merged with our firm, our new firm name is Peiffer Rosca Wolf Abdullah Carr & Kane, L.L.P. Adam and his team, including Tracey Cowan and Tien Le,...
Barry R. Bekkedam, the former owner, Chairman, and CEO of Ballamor Capital Management, LLC, is accused of committing securities fraud by the Securities and Exchange Commission (“SEC”). From April through October 2009, Bekkedam encouraged his clients and others to invest approximately $100 million in a fund...
Harry Stokes orchestrated a Ponzi scheme and defrauded investors out of millions of dollars, according to a complaint filed in North Carolina state court. Stokes was licensed to sell investment products and owned an insurance firm, Contemporary Benefits Design, located in Monroe, North Carolina. Stokes admitted to...
Hundreds of individuals invested over $16 million in a fruitless gold mining venture organized by Nekekim Corporation and its CEO, Kenneth Carlton, according to a complaint filed by the Securities and Exchange Commission. Nekekim and Carlton defrauded investors by stating that a special “complex ore” found...
Daniel Howard Glick, formerly with Transamerica Financial Advisors, Inc., was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in connection with claims Glick forged clients’ signature on documents in order to gain access to his clients’ assets. Glick forged clients’ signatures on...
Bret L. Boteler, the president of EnerMax, Inc., raised $17.26 million through the fraudulent offer and sale of securities to over 250 investors in more than 40 states without registering any offering, according to a complaint filed by the Securities and Exchange Commission (SEC). Boteler used...
