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The law firm is investigating Dean Mustaphilli and his hedge fund, Mustaphilli Capital Partners Fund, L.P., for alleged fraud, as well as potential claims for supervisory failures and aiding and abetting by his trading firms. On June 14, 2017, the New York Attorney General’s Office charged Mustaphilli with defrauding elderly […]
The law firm is investigating Premium Point Investments LLP (“Premium Point”), which managed two hedge funds, the Premium Point Mortgage Credit Fund Ltd. and the Premium Point New Issue Opportunity Fund Ltd. These funds each had onshore and offshore feeder funds. On May 9, 2018, the SEC filed a Complaint […]
The law firm is investigating Long Island financial planner and advisor Steve Pagartanis of Omega Planning Associates in Setauket, New York. Through Omega Planning Associates, Pagartanis has engaged in business as an insurance agent selling life insurance and elder care policies, and as a college financial planner. Separately, he has […]
The law firm is investigating legal claims for customers of former Merrill Lynch financial advisor Thomas J. Buck (“Buck”), of Carmel, Indiana. Buck led the Buck Team at Merrill Lynch and was one of the office’s highest producers, with over 3,000 accounts and $1.3 billion in assets under management. On […]
The law firm is investigating sales of Puerto Rico municipal bonds by large U.S. based brokerage firms such as Wells Fargo and Morgan Stanley to their brokerage customers. Since 2006, even before Hurricane Maria devastated the Island, Puerto Rico has suffered from a protracted economic recession. The government has incurred […]
The law firm is investigating the collapse of EnerVest Ltd. (“EnerVest”), the $2 billion private-equity fund based in Houston, Texas. EnerVest reportedly raised over $1.3 billion in 2013 and borrowed heavily to invest in oil and gas wells before energy prices plummeted. Now EnerVest’s lenders are negotiating to take control […]
The law firm is investigating Oil Well Service Co. (“Oil Well Service”), located in Santa Fe Springs, California, on behalf of its employees, over its Employee Stock Ownership Plan (“ESOP”). Oil Well Service offered its employees a retirement plan that was invested primarily in company stock. In 2013, Oil Well […]
The law firm is investigating third-party claims for investors in the Platinum Partners Value Arbitrage Fund (“Platinum Fund”). The investigation concerns whether there were breaches of duties by the Platinum Fund’s valuation agent or auditor in connection with the fraud that was later revealed. If so, the law firm is […]
In January 2017, the U.S. Securities and Exchange Commission (“SEC”) filed for an injunction freezing the assets of Emilio Francisco and his company, PDC Capital Group LLC. The SEC accused them of defrauding investors of $72 million of funds raised from them, and diverting the money to buy a yacht. […]
We have filed several FINRA arbitrations on behalf of Wells Fargo brokerage account customers to recover losses suffered in Puerto Rican bonds. These customers were elderly or retired with conservative and low risk investment objectives who sought to preserve principal while earning income. During 2011 through 2014, these brokerage customers […]