Cases by industry
Investment funds & advisory Ponzi schemes
472 cases announced 2000–2026, involving about $79.6B in reported investor money. Most cases came from California, Florida and New York.
The largest by reported amount: Bernard L. Madoff Investment Securities LLC ($50B, 2008). Charges are allegations unless a court has entered a conviction or judgment.
Pitch phrases seen in these cases
- “safe”
- “guaranteed”
- “high returns”
- “risk-free”
- “guaranteed fixed returns”
- “high rates of return”
- “guaranteed rates of return”
- “extraordinary returns”
Cases
| Date | Case | Location | Industry | Amount |
|---|---|---|---|---|
| Sep 10, 2026 | Intercontinental Wealth Network LLC, I Wealth Network LP Ernest Ossei Boateng |
Washington, DC | Investment funds & advisory | $16M |
| Jul 20, 2026 | Trevor Uhls LLC, Midwest Homes Trevor Uhls |
Lee's Summit, MO | Investment funds & advisory | $2.1M |
| Jun 30, 2026 | Oxford Street Education LLC (The Croft School) Scott Given |
Wellesley Hills, MA | Investment funds & advisory | $8M |
| Jun 29, 2026 | Richard L. McNeil | Norristown, PA | Investment funds & advisory | $3.8M |
| Apr 7, 2026 | John Jay Kersey | Maineville, OH | Investment funds & advisory | $8.6M |
| Apr 2, 2026 | Castle Hill Financial Group LLC John R. Brodacki III |
Longmeadow, MA | Investment funds & advisory | $1.7M |
| Mar 28, 2026 | BOLO Entertainment LLC, BOLO Sports LLC, Shoot N'2 Sports LLC Timothy France Johnson |
El Paso, TX | Investment funds & advisory | $3M |
| Feb 19, 2026 | Evangelos Drosos | Glen Ridge, NJ | Investment funds & advisory | $10M |
| Feb 2, 2026 | Christian Montiel-Caleit | West Valley City, UT | Investment funds & advisory | $1M |
| Jan 29, 2026 | Lorven Funds, Lorven Advisors LLC, Vistalytics Inc. Satish Appalakutty |
Milpitas, CA | Investment funds & advisory | $37M |
| Jan 21, 2026 | Siddharth Jawahar | St. Louis, MO | Investment funds & advisory | $35M |
| Dec 18, 2025 | Jay Lucas | Claremont, NH | Investment funds & advisory | $50M |
| Dec 16, 2025 | Premier Global Corp Steve Parish, Richard Dean, Joshua Owen |
Derby, KS | Investment funds & advisory | $10M |
| Nov 19, 2025 | Peoples Equity Group Simon G. Outhwaite Jr., Dakota A. Smith |
Miami, FL | Investment funds & advisory | $27M |
| Sep 23, 2025 | Taino "Tai" Lopez, Alexander Mehr, Maya Burkenroad | Miami, FL | Investment funds & advisory | $112M |
| Aug 6, 2025 | Johnson & Niswonger Financial Resources LLC James Johnson (aka Jim Johnson), Darrell Niswonger |
Perryville, MO | Investment funds & advisory | $6M |
| Jul 21, 2025 | Foundation Financial Group Edwin Emmett Lickiss Jr. |
Alamo, CA | Investment funds & advisory | $9.5M |
| Jul 9, 2025 | Joshua Allen, Michael Cox, Brooklynn Chandler Willy | Lubbock, TX | Investment funds & advisory | $80M |
| May 28, 2025 | Kronus Financial Corporation, Finser International Corporation Andrew Hamilton Jacobus |
Fort Lauderdale, FL | Investment funds & advisory | $94M |
| May 28, 2025 | AeroVanti Patrick Britton-Harr |
Annapolis, MD | Investment funds & advisory | $15M |
| Mar 24, 2025 | Likhtenstein Financial Planning Inc. Marat Likhtenstein |
Brooklyn, NY | Investment funds & advisory | $1.2M |
| Feb 25, 2025 | Matthew's Woodworking LLC Matthew Mencarelli |
Belmont, MI | Investment funds & advisory | $1.6M |
| Feb 1, 2025 | Cascade IR LLC, Savitar Systems LLC Thomas Paul Madden, Jeremy Tyler Grabow |
Washington City, UT | Investment funds & advisory | $25M |
| Dec 18, 2024 | Pickleball Rocks, All About Pickleball LLC Rodney Grubbs |
Brookville, IN | Investment funds & advisory | $47M |
| Dec 11, 2024 | Standard Holdings Inc., Standard Huaxia Ltd. Frederick Tayton Dencer, Luke Abelard Dencer, Dennis Edward Butler |
Los Angeles, CA | Investment funds & advisory | $17M |
| Dec 3, 2024 | Wild Rabbit Technologies LLC, BAI Intelligence LLC Sylvein William Maximilian D'Habsburg XVII (aka Sylvein Scalleone) |
West Hills, CA | Investment funds & advisory | $5.9M |
| Nov 26, 2024 | Prosperity Partners Inc., Prosperity Medical and Health System LLC Mathias Bama, Valentine Bama, Hilaire Leunkam |
Greenbelt, MD | Investment funds & advisory | $30M |
| Nov 20, 2024 | Aircraft Guaranty Corp., Wright Brothers Aircraft Title Debra Lynn Mercer-Erwin, Federico Andres Machado |
Oklahoma City, OK | Investment funds & advisory | $550M |
| Nov 14, 2024 | London Capital & Finance plc Spencer Golding, Michael Andrew Thomson |
UK | Investment funds & advisory | $237M |
| Nov 12, 2024 | Best Image I LLC, Cactus Blue Entertainment LLC Michael Saquella |
Mesa, AZ | Investment funds & advisory | $915,005 |
| Oct 17, 2024 | Schiff Fine Art (SFA Advisory) Lisa Schiff |
New York, NY | Investment funds & advisory | $6.5M |
| Sep 25, 2024 | Chadley Capital LLC, Chadley Management Inc. (dba Spartan Safe) William Rhew III |
Summerfield, NC | Investment funds & advisory | $20M |
| Sep 20, 2024 | Bitterroot Timber Frames, Three Mile Creek Post & Beam LLC Brett Mauri |
Stevensville, MT | Investment funds & advisory | $2M |
| Aug 30, 2024 | Refurbs Properties LLC Ross O. Schlomann |
Fremont, WI | Investment funds & advisory | $2.1M |
| Aug 28, 2024 | Toltec Capital LLC Bernardo Mendia-Alcaraz |
CA | Investment funds & advisory | $3.3M |
| Aug 8, 2024 | Carl Arnal (aka Michael J. Cohen), Christopher Vaughan, Damon Artis, Richard Gavzie | Tucson, AZ | Investment funds & advisory | $1.3M |
| Jul 31, 2024 | South Bay Acquisitions LLC John N. Matson |
San Diego, CA | Investment funds & advisory | $1.5M |
| Jul 26, 2024 | Remain in Control LLC Alcides Roman |
Lebanon, TN | Investment funds & advisory | $2M |
| Jul 26, 2024 | Borg Investment Bank & Capital Trust Roosevelt Tobias Bailey, Alvin C. Jones |
Buford, GA | Investment funds & advisory | $1.6M |
| Jul 25, 2024 | DAB Inspection and Consulting Services LLC Babu Ramaraj |
Aldie, VA | Investment funds & advisory | $31M |
| Jul 17, 2024 | Northwest Capital Doug Miller, Richard Scheich, James Delverne, Nancy Rathbun, Bradley J. Konorman, Adam R. Salon |
Toledo, OH | Investment funds & advisory | $72M |
| Jun 18, 2024 | Marley's House of Sport, Marley's House of Investment Marley Wynter |
Australia | Investment funds & advisory | $30M |
| May 31, 2024 | Isotex Health LLC Michael Rabb, Byron Gruber, Jason Bradley Cross, Eugene Elfrank |
Bozeman, MT | Investment funds & advisory | $6M |
| Mar 15, 2024 | Titans Timber LLC (Titan Timber) Trent William Witteveen |
Montague, MI | Investment funds & advisory | $2M |
| Mar 8, 2024 | Infinity Wealth Management Pathyam Patel (aka Pat Patel) |
Tuscaloosa, AL | Investment funds & advisory | $400,000 |
| Feb 29, 2024 | Joseph Firmage | Salt Lake City, UT | Investment funds & advisory | $25M |
| Feb 29, 2024 | Prosper Wealth Management LLC Anthony B. Liddle |
Wausau, WI | Investment funds & advisory | $1.9M |
| Feb 22, 2024 | Hannes Financial Services Inc. Ronald Walter Hannes |
Spokane, WA | Investment funds & advisory | $3M |
| Feb 6, 2024 | IOLO Capital Alan John Hanke |
Crystal Lake, IL | Investment funds & advisory | $8M |
| Jan 11, 2024 | Rodney Dean Buckle | Las Vegas, NV | Investment funds & advisory | $282,980 |
| Dec 14, 2023 | Titanium Capital LLC Henry Abdo, Carol Ann Barsh |
North Palm Beach, FL | Investment funds & advisory | $5.3M |
| Nov 15, 2023 | Bitwise Industries Inc Jake Soberal, Irma Olguin Jr. |
Fresno, CA | Investment funds & advisory | $70M |
| Nov 10, 2023 | Air Travel Ticketing Corp, MH Lux & Beauty Inc Francius Marganda |
Jakarta, Indonesia | Investment funds & advisory | $23M |
| Nov 9, 2023 | Middlesex Mortgage Group LLC John A. Masanotti Jr. |
Darien, CT | Investment funds & advisory | $5.9M |
| Nov 8, 2023 | Gentlemen Timepieces Anthony Farrer |
Los Angeles, CA | Investment funds & advisory | $3M |
| Sep 29, 2023 | Stock Squirrel Inc John Feloni |
Somerville, MA | Investment funds & advisory | $2.5M |
| Sep 25, 2023 | Matthew Motil | North Olmsted, OH | Investment funds & advisory | $11M |
| Sep 19, 2023 | Tilila Siola'a Walker Sumchai | Richmond, CA | Investment funds & advisory | $13M |
| Sep 12, 2023 | ESOS Rings Inc. Michelle Silverstein Bisnoff (aka Michelle Silverstein, Michelle Bisnoff) |
Boca Raton, FL | Investment funds & advisory | $2M |
| Jul 27, 2023 | Accanito, Surge LLC Brent Seaman |
Sarasota, FL | Investment funds & advisory | $35M |
| Jul 20, 2023 | Steven Andiloro | Mooresville, NC | Investment funds & advisory | $6.1M |
| Jul 19, 2023 | Optimus Investments Inc, Tryon Management Group LLC Eliyahu Weinstein (aka Eli, Mike Konig), Aryeh Bromberg, Joel Wittels, Shlomo Erez, Alaa Hattab |
Lakewood, NJ | Investment funds & advisory | $35M |
| Jul 13, 2023 | Todd Financial Services LLC, TFS Insurance Services LLC Joseph Michael Todd |
Panama City, FL | Investment funds & advisory | $3M |
| Jun 22, 2023 | Ichioka Ventures William K. Ichioka |
New York, NY | Investment funds & advisory | $25M |
| Jun 14, 2023 | Ownable LLC, Ownable Capital Partners I LLC Josh S. Verne |
Gladwyne, PA | Investment funds & advisory | $30M |
| May 31, 2023 | Outstanding Real Estate Solutions Inc Chimene Van Gundy, Michael Trofimoff, Santos Kidd, Maria Tosta |
New Braunfels, TX | Investment funds & advisory | $18.5M |
| May 23, 2023 | Integrated National Resources Inc (dba WeedGenics) Rolf Max Hirschmann (aka Max Bergmann), Patrick Earl Williams |
Boise, ID | Investment funds & advisory | $60M |
| May 11, 2023 | Landes Prive LLC, Landes and Compagnie Trust Prive, HekYeah LLC Charles Thomas Lawrence Jr. |
CT | Investment funds & advisory | $4.8M |
| May 3, 2023 | Brett M. Bartlett, Scott A. Miller | Fountain Valley, CA | Investment funds & advisory | $20.5M |
| May 2, 2023 | Suitelife Norcal LLC Derek Vincent Chu |
Alamo, CA | Investment funds & advisory | $39M |
| Mar 27, 2023 | Aaron Cain McKnight, Kenneth Miller, Sherry Rebekka Sims, Harmony Brooke McKnight, Timothy Neher | Dallas, TX | Investment funds & advisory | $8.4M |
| Mar 14, 2023 | James Dean Bulger (aka Jimmy Bulger) | Montgomery, AL | Investment funds & advisory | $8.4M |
| Mar 3, 2023 | IHT Wealth Management LLC Adam S. Kaplan, Daniel E. Kaplan |
NY | Investment funds & advisory | $5M |
| Feb 7, 2023 | John K. Eckerd Jr., Afif Baltagi | Dallas, TX | Investment funds & advisory | $50M |
| Jan 7, 2023 | R.B.J. Generational Wealth Management LLC (dba Adz on Wheelz) Robert Cortez Marshall |
Las Vegas, NV | Investment funds & advisory | $5M |
| Dec 1, 2022 | Trend Sound Promoter AMG Corp. Volodimyr Pigida, Marina Bondarenko |
Bellevue, WA | Investment funds & advisory | $11M |
| Nov 14, 2022 | Adrian J. Kawuba | MA | Investment funds & advisory | $2M |
| Nov 2, 2022 | Halal Capital LLC Jebara Igbara (aka Jay Mazini) |
Edgewater, NJ | Investment funds & advisory | $8M |
| Oct 14, 2022 | Crew Capital Group LLC, Wealth Navigation Advisors Stephen Romney Swensen |
Centerville, UT | Investment funds & advisory | $29M |
| Oct 4, 2022 | JMJ Capital Group Richard Lee Ramirez |
Carlsbad, CA | Investment funds & advisory | $8M |
| Sep 23, 2022 | AMIG, NECO James Clark Nix, Bradley Nix |
Leander, TX | Investment funds & advisory | $6M |
| Sep 15, 2022 | Creative Advancement LLC, Edelman Blockchain Advisors LLC Gabriel Edelman |
New York, NY | Investment funds & advisory | $4.3M |
| Aug 11, 2022 | Edgewize LLC, Moneyline Analytics, Moneyline Analytics Dublin Branch Matthew J. Turnipseede |
Las Vegas, NV | Investment funds & advisory | $8.5M |
| Aug 3, 2022 | Zadeh Kicks LLC Michael Malekzadeh, Bethany Mockerman |
Eugene, OR | Investment funds & advisory | $85M |
| Jul 29, 2022 | Gilbert J. Peter Jr. | Parkland, FL | Investment funds & advisory | $3M |
| May 16, 2022 | StraightPath Venture Partners LLC, StraightPath Management LLC Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, Eric D. Lachow |
NY | Investment funds & advisory | $410M |
| Apr 5, 2022 | CB Holding Group Corp, CaesarBrutus LLC David Joseph Bunevacz |
Calabasas, CA | Investment funds & advisory | $37M |
| Mar 23, 2022 | Carley Financial Group, Prosperity Partners, Main Street Solutions Jeffrey M. Carley |
Treynor, IA | Investment funds & advisory | $1.4M |
| Mar 8, 2022 | EmpowerCoin, ECoinPlus, Jet-Coin Dwayne Golden, Gregory Aggesen, Marquis Demacking Egerton, William White |
Harrisburg, PA | Investment funds & advisory | $40M |
| Mar 2, 2022 | Joseph Orazio DeGregorio | Freehold, NJ | Investment funds & advisory | $1.2M |
| Mar 1, 2022 | Permian Basin Proppants Inc. Marco Perez Jr. (aka Sully Perez) |
Keller, TX | Investment funds & advisory | $11M |
| Dec 17, 2021 | Charles Richard "Dick" Burgess | Vancouver, WA | Investment funds & advisory | $4.3M |
| Dec 14, 2021 | Fusion Hotel Management LLC, Fusion Hospitality Corporation Denny Bhakta |
San Diego, CA | Investment funds & advisory | $28M |
| Nov 23, 2021 | Blue Star Automotive Fund, IEF David O. Braeger |
Fox Point, WI | Investment funds & advisory | $5.5M |
| Nov 2021 | Stephen P. LeProhon | Lake Havasu City, AZ | Investment funds & advisory | $395,000 |
| Oct 8, 2021 | Treasure Enterprise LLC Larry A. Holley, Patricia E. Gray |
Grand Blanc, MI | Investment funds & advisory | $9.3M |
| Oct 4, 2021 | Mejdi Mahmoud Abousaoui | Richmond, TX | Investment funds & advisory | $4M |
| Sep 29, 2021 | Gregory Ciccone | Woodland Park, NJ | Investment funds & advisory | $1.5M |
| Sep 27, 2021 | Sky Group USA LLC, EEB Capital Group LLC Efrain Betancourt Jr. |
Miami, FL | Investment funds & advisory | $66M |
| Sep 2, 2021 | Gray Area Marketing Katie Lynn Mancuso |
Nashville, TN | Investment funds & advisory | $2.8M |
| Aug 25, 2021 | John Woods | Marietta, GA | Investment funds & advisory | $110M |
| Jul 20, 2021 | Outdoor Capital Partners LLC, OCP Italia Fund LLC Samuel J. Mancini |
Denver, CO | Investment funds & advisory | $10M |
| Jul 2, 2021 | Lambert Vander Tuig, Ben Schactschneider | WY | Investment funds & advisory | $763,500 |
| Jun 14, 2021 | BINT Operations LLC (Blessings in No Time) Marlon Moore, LaShonda Moore |
Prosper, TX | Investment funds & advisory | $30M |
| Jun 11, 2021 | Thomas Coelho (aka Thomas Jurewicz) | St. Petersburg, FL | Investment funds & advisory | $1.8M |
| Jun 11, 2021 | Douglas A. Richardson CPA LLC Douglas A. Richardson |
Lebanon, MO | Investment funds & advisory | $8.8M |
| Jun 7, 2021 | Property Income Investors LLC, Equinox Holdings Inc. Larry B. Brodman, Anthony Nicolosi |
Coral Springs, FL | Investment funds & advisory | $9.1M |
| Jun 1, 2021 | James K. Couture | MA | Investment funds & advisory | $2.9M |
| May 14, 2021 | Tri-Med Corporation Jeremy Kee Anderson |
FL | Investment funds & advisory | $10.3M |
| Apr 27, 2021 | Harbor City Capital Corp, Celtic Enterprises LLC Jonathan P. Maroney, Tonya Maroney |
Melbourne, FL | Investment funds & advisory | $17.1M |
| Mar 18, 2021 | Norse Holdings LLC Seth P. Levine |
NJ | Investment funds & advisory | $20M |
| Mar 18, 2021 | Hadsell Chemical Processing LLC Robert W. Walton Jr. |
Loveland, OH | Investment funds & advisory | $8.7M |
| Mar 10, 2021 | AIS Travel Matthew R. Peterson |
Kansas City, MO | Investment funds & advisory | $6M |
| Feb 4, 2021 | GPB Capital, Ascendant Capital, Ascendant Alternative Strategies David Gentile, Jeffry Schneider, Jeffrey Lash |
Manhasset, NY | Investment funds & advisory | $1.7B |
| Jan 28, 2021 | Angel Investment Partners David Aubel (aka David Kost), Nelson Armondo Garcia |
FL | Investment funds & advisory | $2.4M |
| Jan 7, 2021 | Endeavor Management Solutions LLC, Endeavor Consultancy LLC Carl R. Carro, James W. Doyle |
Walton, NY | Investment funds & advisory | $1M |
| Dec 1, 2020 | FACTAC Inc Earl Roberts Sr., Larry Roberts |
San Antonio, TX | Investment funds & advisory | $800,000 |
| Nov 10, 2020 | Ronald Wayne Schroeder, Jill Martin Alvarado, Phyllis Jo Martinez, Rigo Alvarado, Ryan Martinez | San Antonio, TX | Investment funds & advisory | $13M |
| Nov 3, 2020 | Terrence Chalk (aka Dr. Terrence Cash) | Passaic, NJ | Investment funds & advisory | $5M |
| Sep 29, 2020 | Eastern Metal Securities Roger Nils-Jonas Karlsson |
Koh Chang, Thailand | Investment funds & advisory | $16M |
| Sep 24, 2020 | Concorde Group Holdings Inc. Craig A. Zabala |
New York, NY | Investment funds & advisory | $4.4M |
| Sep 3, 2020 | Sageguard LLC, Gensource Raymond Erker, Keven Krantz, Tara Brunst |
Westlake, OH | Investment funds & advisory | $9.3M |
| Sep 2, 2020 | Golden Genesis Inc., Retire Happy LLC Thomas Casey, Dennis Di Ricco, Cynthia Wade |
CA | Investment funds & advisory | $9M |
| Aug 24, 2020 | Belize Infrastructure Fund I LLC Minish "Joe" Hede, Kevin Graetz |
NY | Investment funds & advisory | $9.6M |
| Aug 18, 2020 | Jason Kurland, Christopher Chierchio, Frangesco Russo, Francis Smookler | Dix Hills, NY | Investment funds & advisory | $107M |
| Aug 14, 2020 | Mark Colin Ramsey | Graham, NC | Investment funds & advisory | $1.1M |
| Aug 4, 2020 | Integrity Aviation & Leasing LLC Victor Lee Farias |
San Antonio, TX | Investment funds & advisory | $14M |
| Jul 30, 2020 | Allied Energy Services LLC Clarence Dean Alford |
GA | Investment funds & advisory | $23M |
| Jul 20, 2020 | Philip Elvin Riehl | Bethel Township, PA | Investment funds & advisory | $60M |
| Jul 14, 2020 | LNA Associates Gregory Altieri |
Melville, NY | Investment funds & advisory | $200M |
| Jul 1, 2020 | Clear Solutions Group LLC Matthew Benjamin |
Englewood, NJ | Investment funds & advisory | $1.5M |
| Jun 9, 2020 | Northstar Communications LLC, Planning Services Inc, eGate LLC Paul Horton Smith Sr. |
CA | Investment funds & advisory | $5.6M |
| Apr 30, 2020 | Family Endowment Partners LP Lee D. Weiss |
Newton, MA | Investment funds & advisory | $10M |
| Apr 17, 2020 | Phillip W. Conley | WV | Investment funds & advisory | $5.2M |
| Mar 12, 2020 | Barry Edward Kloogh | Dunedin, New Zealand | Investment funds & advisory | $15.7M |
| Jan 28, 2020 | Edward E. Matthes | Oconomowoc, WI | Investment funds & advisory | $2.4M |
| Jan 27, 2020 | Christopher Parris | Atlanta, GA | Investment funds & advisory | $115.5M |
| Jan 21, 2020 | Guy Scott Griffithe, Robert William Russell | WA | Investment funds & advisory | $4.8M |
| Dec 16, 2019 | Chartwell Strategies Robert Walberg |
Arlington Heights, IL | Investment funds & advisory | $5.5M |
| Nov 14, 2019 | Future Income Payments LLC Scott A. Kohn |
SC | Investment funds & advisory | $300M |
| Oct 28, 2019 | Tactical Solutions Gear LLC Craig Harbaugh |
Fremont, NE | Investment funds & advisory | $11M |
| Sep 30, 2019 | Booth Financial Associates, Insurance Trends Inc. James T. Booth |
Norwalk, CT | Investment funds & advisory | $4.9M |
| Sep 26, 2019 | Natalie Cochran | Daniels, WV | Investment funds & advisory | $2.5M |
| Sep 25, 2019 | Kadaae LLC, Kadaae Entertainment Corp. Andres Fernandez |
Orlando, FL | Investment funds & advisory | $20.7M |
| Sep 25, 2019 | Ahead of the Game LLC Edison Denizard |
Orlando, FL | Investment funds & advisory | $10.4M |
| Sep 20, 2019 | Zvi Feiner, Erez Baver | Chicago, IL | Investment funds & advisory | $10M |
| Sep 20, 2019 | Savage Yachts LLC Matthew Preston Taylor |
Madeira Beach, FL | Investment funds & advisory | $1.5M |
| Sep 4, 2019 | John Frank Thomas III, Thomas Joseph Becker, Douglas Martin, Paul Hanson, Damian Ostertag | Las Vegas, NV | Investment funds & advisory | $29M |
| Aug 31, 2019 | Time Payroll David L. Downey |
Indianapolis, IN | Investment funds & advisory | $9.4M |
| Aug 23, 2019 | Larry A. Carr | Tampa, FL | Investment funds & advisory | $8.2M |
| Aug 5, 2019 | LaunchByte.IO LLC Tanmaya Kabra |
Weehawken, NJ | Investment funds & advisory | $1.8M |
| Jul 3, 2019 | Payroll Professionals Inc. Myles Hannigan |
Newtown Square, PA | Investment funds & advisory | $3.3M |
| May 23, 2019 | IPro Solutions LLC, IPro Network LLC Daniel Pacheco |
San Clemente, CA | Investment funds & advisory | $26M |
| Apr 29, 2019 | James Siniscalchi, Joseph Meli | New York, NY | Investment funds & advisory | $2.7M |
| Apr 8, 2019 | Landash Corporation, Midwest Coal LLC Jason E. Adkins |
Jackson, OH | Investment funds & advisory | $50M |
| Mar 26, 2019 | Mark Alan Blankespoor | Pella, IA | Investment funds & advisory | $15M |
| Mar 20, 2019 | C.A. Pedersen Client Investment Pool Carol Ann Pedersen |
Long Beach, CA | Investment funds & advisory | $29M |
| Jan 4, 2019 | Ronald D. Morley, Diane Morley | MD | Investment funds & advisory | $33M |
| Dec 13, 2018 | Executive Compensation Planners Inc. Hector May, Vania Bell |
New City, NY | Investment funds & advisory | $7.9M |
| Nov 29, 2018 | O4 Worldwide Holdings Khemraj Dave Hardat |
Los Angeles, CA | Investment funds & advisory | $5M |
| Nov 8, 2018 | Eric J. Dalius | CA | Investment funds & advisory | $165M |
| Oct 31, 2018 | Stephen Tudor Crozier | Santa Barbara, CA | Investment funds & advisory | $500,000 |
| Oct 10, 2018 | Lucita Zamoras | Chicago, IL | Investment funds & advisory | $2.5M |
| Sep 28, 2018 | NL Technology LLC Jonny Ngo, Donato "Mick" Baca Jr. |
San Diego, CA | Investment funds & advisory | $61M |
| Sep 27, 2018 | J.T. Bramlette, Anthony Harttman, Travis Kozlowski, Aaron Wernli | Salt Lake City, UT | Investment funds & advisory | $11M |
| Sep 19, 2018 | Kevin B. Merrill, Jay B. Ledford, Cameron R. Jezierski | Towson, MD | Investment funds & advisory | $364M |
| Sep 13, 2018 | Roger Dale Williams | Shelbyville, KY | Investment funds & advisory | $1.4M |
| Aug 30, 2018 | Wade Caughman | Columbia, SC | Investment funds & advisory | $1M |
| Aug 28, 2018 | Universal Voicetech James Bernard Moore |
NY | Investment funds & advisory | $5M |
| Aug 23, 2018 | American Undeveloped Real Estate Fund LaVerne "Vern" Moter |
Gunnison, CO | Investment funds & advisory | $2.6M |
| Jul 26, 2018 | Financial Visions Daniel B. Rudden |
Denver, CO | Investment funds & advisory | $55M |
| Jul 6, 2018 | The Owings Group LLC Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer |
Owings Mills, MD | Investment funds & advisory | $5M |
| Jul 3, 2018 | CM Capital Management LLC, G.E. Holdings Edward Lee Moody Jr. |
Richmond, VA | Investment funds & advisory | $5M |
| Jun 29, 2018 | Timeless Auto Group Albert Golant (aka Alex Golant) |
Wales, WI | Investment funds & advisory | $30M |
| Jun 21, 2018 | James E. Hocker | Bellefonte, PA | Investment funds & advisory | $1.3M |
| Jun 6, 2018 | Essex Capital Corporation Ralph T. Iannelli |
Santa Barbara, CA | Investment funds & advisory | $80M |
| May 1, 2018 | Madison Timber Properties LLC Arthur Lamar Adams |
MS | Investment funds & advisory | $85M |
| Apr 19, 2018 | American Capital Trading Group LLC, American Capital Republic Inc. Li Lin Hsu |
Diamond Bar, CA | Investment funds & advisory | $8.1M |
| Mar 29, 2018 | Nickolas M. Godfrey | Fort Mill, SC | Investment funds & advisory | $1M |
| Mar 15, 2018 | Summit Entertainment (onlinetickets.com, pacertickets.com) Seyed Reza Ali Fazeli |
Aliso Viejo, CA | Investment funds & advisory | $6.2M |
| Mar 15, 2018 | ARO Equity LLC Thomas David Renison, Timothy James Allcott |
Peabody, MA | Investment funds & advisory | $5.8M |
| Feb 14, 2018 | The Kane Capital Investment Group LLC Amrit Jaswant Singh Chahal |
Fairfax, VA | Investment funds & advisory | $1.2M |
| Feb 7, 2018 | Harris Custom Projects LLC Jesse W. Harris |
Sedgwick, KS | Investment funds & advisory | $5M |
| Feb 2018 | Crown Bank Peter E. Dahl |
Edina, MN | Investment funds & advisory | $2.8M |
| Jan 24, 2018 | My Big Coin Pay Inc Randall Crater, Mark Gillespie |
East Hampton, NY | Investment funds & advisory | $6M |
| Dec 21, 2017 | Stephen C. Peters | Raleigh, NC | Investment funds & advisory | $15M |
| Dec 8, 2017 | The Haverford Group Paul W. Smith |
Wayne, PA | Investment funds & advisory | $2.4M |
| Dec 7, 2017 | John Bryan Murphy | CA | Investment funds & advisory | $700,000 |
| Nov 20, 2017 | Antonio Carlos de Godoy Buzaneli, Jose Manuel Ordonez Jr. | Coral Gables, FL | Investment funds & advisory | $150M |
| Nov 16, 2017 | Pedro Fort Berbel | Miami, FL | Investment funds & advisory | $38M |
| Nov 15, 2017 | Daniel H. Glick | Chicago, IL | Investment funds & advisory | $5.2M |
| Oct 20, 2017 | Timothy Sammons | London, United Kingdom | Investment funds & advisory | $30M |
| Aug 31, 2017 | Lux Financial Services, LWLVACC LLC Leon Vaccarelli |
Waterbury, CT | Investment funds & advisory | $1M |
| Aug 28, 2017 | DJB Holdings LLC Dawn J. Bennett |
Chevy Chase, MD | Investment funds & advisory | $20M |
| Aug 10, 2017 | Bulls and Bears Investment Club Kevin D. Wanner |
Bismarck, ND | Investment funds & advisory | $5M |
| Aug 10, 2017 | Lebanon Aviation Service Inc Paul David Ward |
Camdenton, MO | Investment funds & advisory | $707,000 |
| Jun 30, 2017 | James Robinson, David Kennedy, Renwick Haddow | New York, NY | Investment funds & advisory | $57M |
| Jun 30, 2017 | Global Standard Industries, SEK Industries Carl Frederic Sealey, Eric Enge |
Philadelphia, PA | Investment funds & advisory | $1.5M |
| May 31, 2017 | National Event Company Jason Nissen |
Roslyn, NY | Investment funds & advisory | $70M |
| Apr 25, 2017 | Shepherd's Light Learning Center, Lord of Peace Learning Center Nemelee Liwanag Jiao |
Irving, TX | Investment funds & advisory | $1M |
| Mar 30, 2017 | John Quadrino | Oceanside, NY | Investment funds & advisory | $13.1M |
| Mar 27, 2017 | LottoNet Operating Corp. David Gray, Joseph A. Vitale |
Pompano Beach, FL | Investment funds & advisory | $4.8M |
| Mar 20, 2017 | Summit Asset Strategies Chris Young Yoo |
Bellevue, WA | Investment funds & advisory | $3.7M |
| Mar 3, 2017 | Metropolitan Ambulatory Surgical Center LLC, Global Fund Management George Bussanich Sr., Wilma Bussanich, George Bussanich Jr., Heidi Francavilla, Bryan Nazor, Robert G. Schooley, Brendan M. Byrne, Christopher Hanna |
Park Ridge, NJ | Investment funds & advisory | $7M |
| Feb 22, 2017 | Randall Finer | Lake Mills, IA | Investment funds & advisory | $800,000 |
| Feb 16, 2017 | Optimal Economics Capital Partners LLC, Howard Capital Holdings LLC Patrick O. Howard |
Dallas, TX | Investment funds & advisory | $13M |
| Feb 14, 2017 | Gold Chasers Inc, Royal Leisure International Inc Carlos Javier Ramirez |
Orlando, FL | Investment funds & advisory | $4.1M |
| Jan 27, 2017 | Craig Carton, Joseph Meli, Matthew Harriton | New York, NY | Investment funds & advisory | $5.6M |
| Jan 13, 2017 | TSI Holdings LLC Rick Siskey |
Charlotte, NC | Investment funds & advisory | $19M |
| Dec 22, 2016 | Principal Financial Strategies LLC, Safe Financial Strategies Inc. Richard K. Booy |
Vernon Hills, IL | Investment funds & advisory | $1M |
| Dec 19, 2016 | Patricia Means | Williamsburg, VA | Investment funds & advisory | $1.1M |
| Dec 16, 2016 | Saber Funds, Vicor Tax Receivables LLP, Vidon Capital Partners LLC Vincent P. Falci |
Middletown, NJ | Investment funds & advisory | $5.3M |
| Nov 17, 2016 | Gino Accettola | Shelby Township, MI | Investment funds & advisory | $3.7M |
| Nov 10, 2016 | Thomas & Company Wealth Management LLC, Insured Income Solutions LLC David P. Thomas |
Bellingham, WA | Investment funds & advisory | $545,000 |
| Sep 29, 2016 | El Paso Federal Credit Union Maria Guadalupe Hernandez, Hilda Simental Mendoza |
El Paso, TX | Investment funds & advisory | $18.4M |
| Sep 19, 2016 | Jreck Subs Christopher Swartz |
Watertown, NY | Investment funds & advisory | $25M |
| Aug 11, 2016 | American Financial (AMFI), TriLogic, Prestige Benefits Sarah Frances Bolhuis |
Ellsworth, MI | Investment funds & advisory | $7.5M |
| Aug 10, 2016 | Cavalier Union Investments LLC Merrill Robertson Jr., Sherman C. Vaughn Jr. |
Chesterfield, VA | Investment funds & advisory | $10M |
| Jul 28, 2016 | Traffic Monsoon LLC Charles David Scoville |
UT | Investment funds & advisory | $207M |
| Jul 13, 2016 | Cyprus Funds Inc. Eric V. Bartoli |
Doylestown, OH | Investment funds & advisory | $65M |
| Jun 21, 2016 | Ash Narayan, Richard M. Harmon, John A. Kaptrosky | Newport Coast, CA | Investment funds & advisory | $33M |
| Jun 7, 2016 | New Haven Holdings Scott Rookus |
Jenison, MI | Investment funds & advisory | $1.5M |
| May 31, 2016 | JSG Capital Investments LLC Jaswant "Jason" Gill, Javier Rios |
San Diego, CA | Investment funds & advisory | $10M |
| May 27, 2016 | David Kaplan | Zephyr Cove, NV | Investment funds & advisory | $15.8M |
| May 22, 2016 | Lawrence Paul "Larry" Stephens | Riverside, CA | Investment funds & advisory | $4.5M |
| May 10, 2016 | SG Investment Management Claus C. Foerster |
Spartanburg, SC | Investment funds & advisory | $3M |
| May 6, 2016 | Blazer Capital Management Louis Martin Blazer III |
Pittsburgh, PA | Investment funds & advisory | $2.4M |
| Apr 14, 2016 | Jay Peak Inc., Q Resorts Inc. Ariel Quiros, William Stenger |
Miami, FL | Investment funds & advisory | $350M |
| Mar 28, 2016 | Irving Place III SPV LLC Andrew Caspersen |
New York, NY | Investment funds & advisory | $95M |
| Mar 25, 2016 | Saddle River Advisors LLC, SRA Management Associates LLC John Bivona, Frank Gregory Mazzola |
CA | Investment funds & advisory | $53M |
| Feb 12, 2016 | Millennium Title Nancy Jackson Carroll (aka Nancy Spinks) |
Southlake, TX | Investment funds & advisory | $8.6M |
| Jan 18, 2016 | Coaching by Coral LLC (dba The Secret to Life Coaching) Coral Rose Grant (aka Coral Rose Thomas), Gary McGonagle Grant II (aka Mac Grant) |
Austin, TX | Investment funds & advisory | $20M |
| Jan 15, 2016 | Rose Marie O'Reilly | La Grange, TX | Investment funds & advisory | $1.4M |
| Dec 24, 2015 | God's Sports Company Steven McKinlay, Kristi McKinlay |
Coto de Caza, CA | Investment funds & advisory | $3M |
| Dec 8, 2015 | Lotus Global Omar Hafez |
North Arlington, NJ | Investment funds & advisory | $1.5M |
| Oct 1, 2015 | USFIA Inc Steve Chen |
Bradbury, CA | Investment funds & advisory | $32M |
| Sep 18, 2015 | Stephens Capital Management Inc, Douglas Capital Corp Stephen C. Browere |
Geneva, IL | Investment funds & advisory | $3.9M |
| Aug 5, 2015 | First American Monetary Consultants, Information Radio Network Larry Bates, Charles Bates (aka Chuck Bates), Robert Bates |
Memphis, TN | Investment funds & advisory | $18M |
| Jul 21, 2015 | Lion Trading Corp Carlos Hernan del Valle |
Weston, FL | Investment funds & advisory | $750,000 |
| Jul 21, 2015 | Guillermo M. Sanchez, Isabel C. Sanchez, Gustavo Giral | Cutler Bay, FL | Investment funds & advisory | $10M |
| Jul 6, 2015 | Entholpy EMC, Mastermind College Funding Group Yong Chen (aka Michael Chen) |
CA | Investment funds & advisory | $8M |
| Jul 2, 2015 | DFRF Enterprises LLC Daniel Fernandes Rojo Filho, Wanderley M. Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman, Romildo Da Cunha |
Winter Garden, FL | Investment funds & advisory | $15M |
| Jul 1, 2015 | Malcolm Segal | Langhorne, PA | Investment funds & advisory | $15.5M |
| Jun 22, 2015 | Keith Michael Rogers | Huntsville, AL | Investment funds & advisory | $2.5M |
| Jun 18, 2015 | Richard Brandt | Miles City, MT | Investment funds & advisory | $2M |
| Jun 18, 2015 | Ulysses Partners LLC, Neilsen Financial Services James E. Neilsen |
Norwalk, CT | Investment funds & advisory | $1.7M |
| Jun 10, 2015 | Capital Financial Planning LLC Frederick E. Monroe Jr. |
Queensbury, NY | Investment funds & advisory | $1.3M |
| May 7, 2015 | ClearPath Wealth Management LLC Patrick Churchville |
Barrington, RI | Investment funds & advisory | $11M |
| May 4, 2015 | Daniel Fodiman | NY | Investment funds & advisory | $1M |
| Apr 13, 2015 | DollarMonster, Cashflowbot.com James A. Evans Jr. |
Villa Rica, GA | Investment funds & advisory | $1.1M |
| Feb 27, 2015 | Wings Network Sergio Henrique Tanaka, Carlos Luis da Silveira Barbosa, Claudio de Oliveira Pereira Campos |
Davie, FL | Investment funds & advisory | $23.5M |
| Feb 27, 2015 | Archipel Capital LLC, BIM Management LP Gregory W. Gray Jr. |
Buffalo, NY | Investment funds & advisory | $10.3M |
| Feb 26, 2015 | Compass Financial Solutions Kenneth Brewington, William E. Dawn, Brian G. Elrod |
Corona, CA | Investment funds & advisory | $2.5M |
| Feb 18, 2015 | Kristine L. Johnson, Troy A. Barnes | Aurora, CO | Investment funds & advisory | $3.8M |
| Feb 10, 2015 | Muskey Financial Services Jason A. Muskey |
Moosic, PA | Investment funds & advisory | $2M |
| Jan 21, 2015 | Frederic Elm (aka Frederic Elmaleh) | Fort Lauderdale, FL | Investment funds & advisory | $17M |
| Jan 20, 2015 | Charles D. Jones Capital Management Inc. Charles D. Jones |
Waco, TX | Investment funds & advisory | $9.3M |
| Jan 15, 2015 | Alliance Warburg Capital Management Steven Canady |
NY | Investment funds & advisory | $2M |
| Jan 14, 2015 | Keystone Capital Management LLC Geoffrey W. Nehrenz |
Uniontown, OH | Investment funds & advisory | $7M |
| Jan 9, 2015 | Ian Parker Bick | Danbury, CT | Investment funds & advisory | $500,000 |
| Dec 12, 2014 | Charles A. Bennett | Manhattan, NY | Investment funds & advisory | $5M |
| Oct 8, 2014 | Brandon Stewart | Newport Beach, CA | Investment funds & advisory | $13.5M |
| Sep 30, 2014 | Dennis F. Wright | Lewistown, PA | Investment funds & advisory | $1.5M |
| Sep 26, 2014 | eAdGear Holdings Limited Charles S. Wang, Qian Cathy Zhang, Francis Y. Yuen |
Warren, NJ | Investment funds & advisory | $129M |
| Sep 16, 2014 | Abatement Corp. Holding Company Limited, International Balanced Fund Joseph Laurer (aka Dr. Josef V. Laurer), Brenda Davis |
Homestead, FL | Investment funds & advisory | $4.6M |
| Aug 28, 2014 | Realty World-Quality Homes Inc. Lananh Thi Phan, Diane H. Do Bui |
San Jose, CA | Investment funds & advisory | $8M |
| Jul 31, 2014 | Donna Jessee Tucker | Roanoke, VA | Investment funds & advisory | $730,289 |
| Jul 17, 2014 | Philippe Bourciquot | Lake Worth, FL | Investment funds & advisory | $3.1M |
| Jun 25, 2014 | New Century Coal, Earth Energy Exploration Brian C. Rose (aka John Hankins), Robert S. McGregor (aka Jim Robinson III), Dallas P. McRae, Hugh F. Sackett, James M. Robinson, Brent Loveall, Jason Smith, Ray C. Spears (aka Brock Hamilton), Jennifer L. Key, Johnny Phillips |
Johnson City, TN | Investment funds & advisory | $15M |
| Jun 6, 2014 | KS Investments, Buckharbor Patricia S. Miller |
Pittsburgh, PA | Investment funds & advisory | $5M |
| May 28, 2014 | TransVantage Group Shirley Sooy |
Fort Smith, AR | Investment funds & advisory | $42M |
| May 20, 2014 | NHI Metals Ltd. Jeanette Berney, Elliot Berney |
Monsey, NY | Investment funds & advisory | $10M |
| May 15, 2014 | AEO Associates, KMO Associates LLC Aaron E. Olson |
Rindge, NH | Investment funds & advisory | $27.8M |
| May 13, 2014 | Robert E. Lee Jr. | Oxford, CT | Investment funds & advisory | $8M |
| May 9, 2014 | David W. McQueen, Trent Francke | Byron Center, MI | Investment funds & advisory | $46.5M |
| Apr 25, 2014 | Resource Planning Group Inc, Midwest Opportunity Fund Joseph Hennessy |
Western Springs, IL | Investment funds & advisory | $2.9M |
| Apr 15, 2014 | TelexFree Inc, Common Cents Communications Inc James Merrill, Carlos N. Wanzeler, Sanderley R. De Vasconcelos (aka Sann Rodrigues) |
Ashland, MA | Investment funds & advisory | $1B |
| Apr 11, 2014 | Timothy J. Coughlin | Indianapolis, IN | Investment funds & advisory | $12.8M |
| Apr 8, 2014 | JCS Enterprises Inc, T.B.T.I. Inc Joseph Signore, Paul L. Schumack II |
West Palm Beach, FL | Investment funds & advisory | $40M |
| Mar 28, 2014 | WCM, WCM777 Ming Xu (aka Phil Ming Xu) |
Temple City, CA | Investment funds & advisory | $65M |
| Feb 27, 2014 | Intermodal Wealth Inc, World Container Steven Patrick Jones, John Patrick Acord (aka John Delano), Dean Lester Springer |
Palm Desert, CA | Investment funds & advisory | $5.5M |
| Feb 24, 2014 | International Manufacturing Group Inc, RelyAid Global Healthcare Inc Deepal Wannakuwatte |
Sacramento, CA | Investment funds & advisory | $125M |
| Feb 5, 2014 | Pacific Property Assets, Apartments America Michael J. Stewart, John J. Packard |
Phoenix, AZ | Investment funds & advisory | $110M |
| Feb 4, 2014 | Stevens Creek Auto Mall Ron Battistella, Julie Ann LeBlanc |
San Jose, CA | Investment funds & advisory | $1.3M |
| Jan 31, 2014 | Storehouse Credit Union Ek. Samuel J. Cusumano |
Orlando, FL | Investment funds & advisory | $17M |
| Dec 19, 2013 | Daniel H. Williford | Statesville, NC | Investment funds & advisory | $44M |
| Dec 17, 2013 | Queen City Investments Glen Galemmo |
Cincinnati, OH | Investment funds & advisory | $87M |
| Oct 10, 2013 | Michael R. Enea | Menomonee Falls, WI | Investment funds & advisory | $2.1M |
| Oct 3, 2013 | Evaluation Apex Inc. France-Josée Dancause, Alain Péloquin, Benoît Sénécal, Sophie Jolicoeur, Isabelle Cantin, Chantal Goulet, Jean-Marc Lavallée |
Longueuil, Canada | Investment funds & advisory | $19M |
| Oct 1, 2013 | USA Now LLC, USA Now Energy Capital Group LP, Now Co. Loan Services Marco Ramirez, Bebe Ramirez |
McAllen, TX | Investment funds & advisory | $5M |
| Sep 30, 2013 | Immigration General Services Jenny E. Coplan |
Tamarac, FL | Investment funds & advisory | $4M |
| Sep 27, 2013 | Richard Allen Freer | Palmer Township, PA | Investment funds & advisory | $10M |
| Sep 26, 2013 | MRI International Inc, CSA Service Center LLC, The Factoring Company Edwin Yoshihiro Fujinaga |
Las Vegas, NV | Investment funds & advisory | $800M |
| Aug 4, 2013 | Ashok Jerambhai Jadeja | Ahmedabad, India | Investment funds & advisory | $4M |
| Jun 25, 2013 | Elaina Patterson | Reading, MA | Investment funds & advisory | $2.1M |
| Jun 21, 2013 | Your Best Memories International Inc., Smokey Canyon Financial Robert Hurd, Kenneth Gross |
Los Angeles, CA | Investment funds & advisory | $1.2M |
| Jun 13, 2013 | David Ross | Wellington, New Zealand | Investment funds & advisory | $320M |
| Jun 7, 2013 | Edward J. & Company, La Porte Jewelers Matthew James Addy |
Lancaster, PA | Investment funds & advisory | $3.4M |
| Jun 3, 2013 | Detroit Memorial Partners LLC Mark Morrow |
Cincinnati, OH | Investment funds & advisory | $19M |
| May 24, 2013 | The Mortgage Store, The Parking Lot George Lindell, Holly Hoaeae |
HI | Investment funds & advisory | $8.6M |
| May 14, 2013 | Dana Island Yacht Sales and Charters Edward Fitzgerald |
Dana Point, CA | Investment funds & advisory | $1.6M |
| May 5, 2013 | Moriarty Enterprises Albert Moriarty |
Grover Beach, CA | Investment funds & advisory | $22M |
| Apr 10, 2013 | Integrity Financial Consulting, Providence Financial Services Perry Sawano |
Wheat Ridge, CO | Investment funds & advisory | $4.8M |
| Mar 19, 2013 | Ventures Trust II LLC, Face Off Acquisitions LLC Craig L. Berkman, John B. Kern |
FL | Investment funds & advisory | $13.2M |
| Mar 11, 2013 | Robert Medhus | Fargo, ND | Investment funds & advisory | $900,000 |
| Mar 8, 2013 | TLM Design and Construction Inc. Tina Louise Mangiardi |
Orlando, FL | Investment funds & advisory | $2.5M |
| Mar 1, 2013 | Gary H. Lane | Reno, NV | Investment funds & advisory | $2M |
| Feb 7, 2013 | Charles Huggins, Christopher Butchko, Anne Thomas | Edgewater, NJ | Investment funds & advisory | $2.5M |
| Feb 1, 2013 | Titan Wealth Management LLC Karen P. Bowie |
Plano, TX | Investment funds & advisory | $5M |
| Jan 30, 2013 | Greg Jeffreys, Kimberly Jeffreys, Shannon Stiltner | Spokane, WA | Investment funds & advisory | $1.4M |
| Jan 25, 2013 | WALTEC Consultants, LRE Holdings, The MDM Group Russell Allen Erxleben |
Austin, TX | Investment funds & advisory | $2M |
| Dec 29, 2012 | Jack Brown | Soddy-Daisy, TN | Investment funds & advisory | $10M |
| Nov 9, 2012 | William Ison, Douglas Ellingson | CO | Investment funds & advisory | $2.8M |
| Oct 31, 2012 | U.S. Gold & Silver Investments Inc. Lawrence H. Heim (aka Larry Heim) |
Tigard, OR | Investment funds & advisory | $4.1M |
| Oct 19, 2012 | Dresdner Financial, .44 Magnum Leveraged Financing Program Geoffrey H. Lunn, Darlene A. Bishop, Vincent G. Curry |
Sheridan, CO | Investment funds & advisory | $5.8M |
| Oct 17, 2012 | A.L. Waters Capital LLC, Moneta Management, Port Huron Partners L.P. Arnett L. Waters |
Milton, MA | Investment funds & advisory | $839,000 |
| Oct 11, 2012 | McGinn Smith & Co. Inc. Timothy M. McGinn, David L. Smith |
Albany, NY | Investment funds & advisory | $2.4M |
| Sep 27, 2012 | GetMoni.com Ronald Lee Brito, Bonnie Brito, Thomas Winston Moore, John James Missitti |
Genesee Township, MI | Investment funds & advisory | $25M |
| Sep 24, 2012 | USA Marketing, Elite Marketing Edward Lincoln Forehand |
Dothan, AL | Investment funds & advisory | $6.2M |
| Sep 19, 2012 | Angelo A. Alleca | Atlanta, GA | Investment funds & advisory | $17M |
| Sep 19, 2012 | ConsensusOne LLC Garrett L. Denniston |
Sandy Hook, CT | Investment funds & advisory | $1M |
| Sep 13, 2012 | Millennium Bank, United Trust of Switzerland, Sterling Bank and Trust William J. Wise |
Raleigh, NC | Investment funds & advisory | $129.5M |
| Aug 17, 2012 | ZeekRewards.com Paul Burks, Dawn Wright-Olivares |
Lexington, NC | Investment funds & advisory | $600M |
| Aug 16, 2012 | GLC Limited Jim Donnan, Gregory Crabtree |
Athens, GA | Investment funds & advisory | $80M |
| Aug 9, 2012 | Koperasi Langit Biru (KLB) Jaya Komara |
Indonesia | Investment funds & advisory | $632M |
| Jul 26, 2012 | Gold & Silver LLC Archie Larue Evans |
Conway, SC | Investment funds & advisory | $2.5M |
| Jul 24, 2012 | Cranney Capital I LLC, Cranney Capital III Inc., Cranney Industries John W. Cranney |
Belmont, MA | Investment funds & advisory | $10.4M |
| Jul 2, 2012 | Cadeau Express Ramon DeSage |
Las Vegas, NV | Investment funds & advisory | $75M |
| Jun 14, 2012 | Gibraltar Partners Anthony John Johnson |
Katonah, NY | Investment funds & advisory | $12M |
| Jun 7, 2012 | Atlantic Bullion & Coin Ronnie Gene Wilson |
Easley, SC | Investment funds & advisory | $90.1M |
| May 31, 2012 | John Francis Holtsinger | Ottumwa, IA | Investment funds & advisory | $493,000 |
| May 31, 2012 | James B. Catledge, Derek F.C. Elliott | CA | Investment funds & advisory | $163M |
| May 25, 2012 | Stanley J. Shew-A-Tjon | Davie, FL | Investment funds & advisory | $16M |
| May 18, 2012 | iStorm Solutions Jeffrey Curtis Folkert |
Holland, MI | Investment funds & advisory | $1.5M |
| May 7, 2012 | PhoneCard USA Istvan Merchenthaler (aka Steve Merchenthaler) |
Downingtown, PA | Investment funds & advisory | $2M |
| Apr 12, 2012 | Michael Gonzalez Investments Michael Anthony Gonzalez |
Pasadena, CA | Investment funds & advisory | $1M |
| Apr 12, 2012 | City Capital Corporation Ephren W. Taylor II, Wendy Connor |
NC | Investment funds & advisory | $11M |
| Apr 4, 2012 | Brett A. Amendola | Ashburn, VA | Investment funds & advisory | $3.8M |
| Mar 27, 2012 | Brian Keith Miller | Maryville, TN | Investment funds & advisory | $1M |
| Mar 16, 2012 | API Worldwide Holdings LLC Jeffrey L. Ripley, Danny Lee VanLiere |
Sparta, MI | Investment funds & advisory | $9M |
| Mar 6, 2012 | MDN Financial Group Inc. Juan Carlos Rodriguez |
Miami, FL | Investment funds & advisory | $5M |
| Feb 6, 2012 | Ahmed Alabadi | Dearborn, MI | Investment funds & advisory | $2M |
| Feb 1, 2012 | Janitorial Close-Out City Corp. Laurie Schneider |
Oceanside, NY | Investment funds & advisory | $4M |
| Dec 23, 2011 | Allen Leroy Kayser | Tucson, AZ | Investment funds & advisory | $1M |
| Dec 17, 2011 | Military Air Parts International, C130Spares Victor Brown, Roger Green |
Fort Lauderdale, FL | Investment funds & advisory | $6M |
| Dec 13, 2011 | Brian Marsack | Chesterfield Township, MI | Investment funds & advisory | $1M |
| Nov 23, 2011 | Henry Roche | MA | Investment funds & advisory | $1.3M |
| Oct 6, 2011 | PermaPave Companies, Interlink-US-Network Ltd Eric Aronson, Vincent Buonauro Jr., Robert Kondratick, Fredric Aaron |
Syosset, NY | Investment funds & advisory | $26M |
| Sep 13, 2011 | Backstreet Associates Inc. Arthur Strasnick |
Ormond Beach, FL | Investment funds & advisory | $1.9M |
| Aug 17, 2011 | Jason Severs | Terre Haute, IN | Investment funds & advisory | $3M |
| Aug 11, 2011 | Gregory Viola | Orange, CT | Investment funds & advisory | $6M |
| Aug 11, 2011 | Evolution Capital Advisors, Evolution Investment Group I Damian Omar Valdez |
TX | Investment funds & advisory | $10M |
| Aug 3, 2011 | PA Alliance Trust Kevin Harold Lewis |
Little Rock, AR | Investment funds & advisory | $47M |
| Aug 2, 2011 | J. David Salinas, Brian A. Bjork | Houston, TX | Investment funds & advisory | $52M |
| Jul 5, 2011 | Le Sin Charles M. Vaughn |
Atlanta, GA | Investment funds & advisory | $10M |
| Jun 3, 2011 | PJI Distribution Corporation Ira J. Pressman |
Bala Cynwyd, PA | Investment funds & advisory | $6M |
| Jun 1, 2011 | Starfire Technologies Steven Bartko |
Vista, CA | Investment funds & advisory | $10M |
| May 27, 2011 | Cash Rewards Inc David Maloy |
Coppell, TX | Investment funds & advisory | $7M |
| May 18, 2011 | Financial Services Moskop and Associates Inc. Edward Lynn Moskop |
Belleville, IL | Investment funds & advisory | $2.4M |
| May 10, 2011 | Steven Bingaman | Bedford, NY | Investment funds & advisory | $1.2M |
| Apr 28, 2011 | MMJ's Warehouse, VLM Enterprise Marguerite Martial Jean |
FL | Investment funds & advisory | $3.4M |
| Apr 15, 2011 | Nicholas D. Skaltsounis, John B. Guyette, John R. Graves | Richmond, VA | Investment funds & advisory | $7.7M |
| Apr 8, 2011 | Michael Crook, Roderick James Rieman | Los Angeles, CA | Investment funds & advisory | $5M |
| Apr 6, 2011 | Stephen J. Klos | Mercer Island, WA | Investment funds & advisory | $3.5M |
| Mar 16, 2011 | Timothy S. Durham, James F. Cochran, Rick D. Snow | Indianapolis, IN | Investment funds & advisory | $230M |
| Feb 25, 2011 | Panoptic Studios Inc, Panoptic Corporation Paul Joseph Cirigliano (aka Paul Cirano) |
Wauconda, IL | Investment funds & advisory | $1.8M |
| Feb 18, 2011 | Secure Capital Funding Corporation, PP&M Trade Partners Bertram Augustus Hill, Kiavanni Pringle |
Morganville, NJ | Investment funds & advisory | $3.6M |
| Feb 16, 2011 | Triton Financial LLC Kurt Branham Barton |
Austin, TX | Investment funds & advisory | $41M |
| Feb 15, 2011 | A&M Investments Monroe L. Beachy |
Sugarcreek, OH | Investment funds & advisory | $33M |
| Feb 10, 2011 | Financial Update Inc Algird M. Norkus |
Sugar Grove, IL | Investment funds & advisory | $9M |
| Feb 7, 2011 | Shaine Joseph LaVoie | Dana Point, CA | Investment funds & advisory | $800,000 |
| Jan 7, 2011 | MuniVest Financial Group, MuniVest Services LLC Dante DeMiro |
Milford, MI | Investment funds & advisory | $7M |
| Jan 7, 2011 | Raymond P. Morris, James L. Haley, Jay J. Linford, Luc D. Nguyen | Draper, UT | Investment funds & advisory | $60M |
| Dec 21, 2010 | Carr Miller Capital LLC, Capital Markets Advisory LLC Everett Charles Ford Miller, Ryan Jude Carr, Brian Patrick Carr |
Marlton, NJ | Investment funds & advisory | $40M |
| Dec 17, 2010 | Albert E. Gilner, Randi A. Bochinski | New Smyrna Beach, FL | Investment funds & advisory | $5.2M |
| Dec 6, 2010 | AdSurf Daily Thomas A. Bowdoin Jr. |
Quincy, FL | Investment funds & advisory | $110M |
| Nov 23, 2010 | Lydia Cladek Inc Lydia I. Cladek |
St. Augustine, FL | Investment funds & advisory | $113.2M |
| Oct 15, 2010 | JJF Management Company Inc Jason Keith Fifield |
Temecula, CA | Investment funds & advisory | $5.9M |
| Oct 7, 2010 | Rosand Enterprises Inc Robert R. Anderson |
Mt. Prospect, IL | Investment funds & advisory | $12M |
| Aug 6, 2010 | Innovative Advisory Services Inc Richard H. Nickles |
Irvine, CA | Investment funds & advisory | $10M |
| Jul 20, 2010 | ASM Financial Funding Corporation Andrew S. Mackey, Inger L. Jensen |
Cedarhurst, NY | Investment funds & advisory | $12.3M |
| Jun 28, 2010 | Daniel Spitzer | St. Thomas, U.S.V.I. | Investment funds & advisory | $105M |
| Jun 25, 2010 | Joseph A. Nelson, Anthony C. Zufelt, David M. Decker Jr., Cache D. Decker | UT | Investment funds & advisory | $15.6M |
| Jun 17, 2010 | Wealth Resources Inc., Wealth Resources LLC Martin T. Wegener |
Grand Rapids, MI | Investment funds & advisory | $6.5M |
| Jun 17, 2010 | Matthew Jennings | CA | Investment funds & advisory | $53M |
| Jun 10, 2010 | Milowe Allen Brost, Gary Allen Sorenson, Larry Lee Adair, Ward K. Capstick, Bradley Dean Regier, Martin M. Werner | Calgary, Canada | Investment funds & advisory | $300M |
| May 27, 2010 | Starr & Co LLC, Starr Investment Advisors LLC, Wind River LLC Kenneth Ira Starr, Andrew Stein |
New York, NY | Investment funds & advisory | $30M |
| May 25, 2010 | Christopher W. Bass | Albany, NY | Investment funds & advisory | $5.9M |
| May 17, 2010 | DJ Harriett Inc David J. Harriett |
Warren, OH | Investment funds & advisory | $7M |
| May 5, 2010 | Security Income Planners Jay M. Hoffman |
East Meadow, NY | Investment funds & advisory | $2M |
| May 4, 2010 | Prime Rate and Return LLC (dba American Integrity Financial Co.) Matthew John Ryan |
Troy, NY | Investment funds & advisory | $6.5M |
| Apr 21, 2010 | Capitol Investments USA Inc Nevin K. Shapiro |
Miami Beach, FL | Investment funds & advisory | $900M |
| Apr 9, 2010 | Richard C. Shade Jr. | Perrysburg, OH | Investment funds & advisory | $6.3M |
| Apr 1, 2010 | Victoria Scardigno | Weehawken, NJ | Investment funds & advisory | $1M |
| Mar 26, 2010 | Pure Class Inc Michael Greenberg |
Largo, FL | Investment funds & advisory | $53M |
| Mar 26, 2010 | Investor Planning Services Richard Taft Johnson |
Bloomfield Hills, MI | Investment funds & advisory | $13.2M |
| Mar 19, 2010 | Matthew H. Anselmo | Bellevue, NE | Investment funds & advisory | $4M |
| Mar 10, 2010 | USA Retirement Management Services John T. Burns III, Robert C. Pribilski, Mahmut Erhan Durmaz (aka Francois E. Durmaz) |
Naperville, IL | Investment funds & advisory | $28M |
| Feb 13, 2010 | Henri Zogaib | Daytona Beach, FL | Investment funds & advisory | $5.1M |
| Feb 11, 2010 | Murray & Young, U.S. Financial Services William R. Murray |
Sacramento, CA | Investment funds & advisory | $13.4M |
| Feb 3, 2010 | SF Capital Miguel Salazar, Carlos Flores |
West Covina, CA | Investment funds & advisory | $1.3M |
| Feb 1, 2010 | Razel Canedo (aka Razel Torres, Razel Agravante) | NY | Investment funds & advisory | $1M |
| Jan 11, 2010 | NewPoint Financial Services Inc. John Farahi, Gissou Rastegar Farahi, Elaheh Amouei |
Beverly Hills, CA | Investment funds & advisory | $20M |
| Jan 11, 2010 | Transpacific Intertrade Inc Tarakeswar "Tarak" Chaudhary |
Tustin, CA | Investment funds & advisory | $10M |
| Jan 8, 2010 | Results One Financial LLC Steven W. Salutric |
Carol Stream, IL | Investment funds & advisory | $2M |
| Jan 6, 2010 | Vesta Strategies John D. Terzakis, Estupinian |
Hinsdale, IL | Investment funds & advisory | $25M |
| Jan 5, 2010 | Richard Elkinson | Framingham, MA | Investment funds & advisory | $29M |
| Jan 4, 2010 | Oren Eugene Sullivan | Rock Hill, SC | Investment funds & advisory | $2.5M |
| Dec 22, 2009 | Resort Holdings International Robert Valeri Sr., Robert Antonio Valeri Jr., Jeffrey Ron Mitchell, Michael Kelly |
South Lyon, MI | Investment funds & advisory | $350M |
| Dec 17, 2009 | Robert M. Donald | NY | Investment funds & advisory | $7M |
| Dec 16, 2009 | Bridon Entertainment Dean P. Gross, Gregory W. Laser |
Agoura Hills, CA | Investment funds & advisory | $18M |
| Dec 14, 2009 | Eliott Jay Dresher | Chatsworth, CA | Investment funds & advisory | $10M |
| Dec 2, 2009 | Canopy Financial Inc Jeremy J. Blackburn, Anthony T. Banas |
Chicago, IL | Investment funds & advisory | $75M |
| Nov 23, 2009 | Acquisitions Unlimited Group Michael S. Goldberg |
Wethersfield, CT | Investment funds & advisory | $20M |
| Nov 20, 2009 | Matthew B. Pizzolato | Tickfaw, LA | Investment funds & advisory | $19.5M |
| Nov 17, 2009 | Health Care Financial Partners Maxwell B. Smith III |
Fair Haven, NJ | Investment funds & advisory | $9M |
| Nov 16, 2009 | Mantria Corporation, Speed of Wealth LLC Wayde McKelvy, Donna McKelvy, Troy Wragg, Amanda Knorr |
Denver, CO | Investment funds & advisory | $30M |
| Nov 12, 2009 | Bean East Corporation Hanif Hassan Moledina |
Great Falls, VA | Investment funds & advisory | $16M |
| Nov 6, 2009 | Minnesota Print Services Gerard Frank Cellette Jr. |
Andover, MN | Investment funds & advisory | $53M |
| Oct 29, 2009 | Gelsco Inc Matthew Scott |
Elmhurst, IL | Investment funds & advisory | $28M |
| Oct 7, 2009 | Randy W. Cho | Newton, MA | Investment funds & advisory | $3.7M |
| Oct 2, 2009 | E-M Management Co LLC, more than 150 affiliated LLCs Edward P. May |
Lake Orion, MI | Investment funds & advisory | $200M |
| Sep 18, 2009 | The Money Tree, Gestalt Group Ltd Neal A. Jackson |
Kirksville, MO | Investment funds & advisory | $1.4M |
| Aug 31, 2009 | D.A. Souza Investments LLC David A. Souza |
Redding, CA | Investment funds & advisory | $1M |
| Aug 3, 2009 | Sidney M. Field, Joseph J. Lampariello | Tustin, CA | Investment funds & advisory | $77M |
| Jul 22, 2009 | Frank A. Castaldi | Prospect Heights, IL | Investment funds & advisory | $77M |
| Jul 13, 2009 | Earl Jones Consultant and Administration Corporation Bertram Earl Jones |
Montreal, Canada | Investment funds & advisory | $43.5M |
| Jun 24, 2009 | Regan & Company, River Stream Fund Michael C. Regan |
Wayland, MA | Investment funds & advisory | $15.9M |
| Jun 5, 2009 | Financial Solutions, Gentech Fabrication Inc David Lincoln Johnson |
Loma Linda, CA | Investment funds & advisory | $23M |
| Jun 3, 2009 | Byron Keith Brown | Vienna, VA | Investment funds & advisory | $17M |
| Jun 2, 2009 | Genius Inc. Jason Trevor Brooks, Donald Scott Carew |
Erie, CO | Investment funds & advisory | $10M |
| May 14, 2009 | Ernst and Ernst Collectors Gallery Donald Dean Seybold |
Cannon Beach, OR | Investment funds & advisory | $3.2M |
| Apr 22, 2009 | Excel Lease Fund Inc Benny L. Judah |
Lubbock, TX | Investment funds & advisory | $40M |
| Apr 20, 2009 | Acorn Capital Management LLC, Acorn II LP, Oak Grove Partners LP Donald Anthony Walker Young |
Coatesville, PA | Investment funds & advisory | $23M |
| Mar 30, 2009 | Luminous Wealth Management, Luminous Management Antoine David Haroutunian |
Glendale, CA | Investment funds & advisory | $14M |
| Mar 23, 2009 | Wendell Ray Spell | Gainesville, GA | Investment funds & advisory | $60M |
| Mar 12, 2009 | Smart Assets LLC Brian Jared Smart |
Lehi, UT | Investment funds & advisory | $1.7M |
| Mar 5, 2009 | Noble Trust Company Colin P. Lindsey, Lisa Elliott, Jerry Vito Marino |
Manchester, NH | Investment funds & advisory | $15M |
| Mar 2, 2009 | Jon Michael Harder | Salem, OR | Investment funds & advisory | $300M |
| Feb 27, 2009 | Paragon Company, Omni Clearing Judith Zabalaoui |
Metairie, LA | Investment funds & advisory | $5M |
| Feb 20, 2009 | TD Financial Services, NLC Financial Services, NLC Venture Group Kalin Thanh Dao, Nghia Trong Dao, Thu Nguyet Le Dao |
Minneapolis, MN | Investment funds & advisory | $7M |
| Feb 17, 2009 | Robert Allen Stanford, Laura Pendergest-Holt, Gilbert Lopez, Mark Kuhrt, Leroy King, James Davis | Houston, TX | Investment funds & advisory | $7B |
| Feb 9, 2009 | Quest Holdings Inc Craig T. Jolly |
Spokane, WA | Investment funds & advisory | $4M |
| Feb 3, 2009 | Rate Search Inc, Clayton Analytical Services Inc Scott E. Luster |
Belleville, IL | Investment funds & advisory | $4.5M |
| Jan 28, 2009 | ProTrust Management Inc Gordon B. Grigg |
Nashville, TN | Investment funds & advisory | $6.5M |
| Jan 23, 2009 | Gregg Thomas Rennie | Quincy, MA | Investment funds & advisory | $2M |
| Jan 17, 2009 | Nakami Chi Group Ministries International Edward Anthony Purvis |
Chandler, AZ | Investment funds & advisory | $8M |
| Jan 6, 2009 | James Asset Advisory LLC Anthony A. James |
FL | Investment funds & advisory | $5.3M |
| Dec 11, 2008 | Bernard L. Madoff Investment Securities LLC Bernard L. Madoff |
New York, NY | Investment funds & advisory | $50B |
| Oct 30, 2008 | The Bottom Line of South Florida Inc, Summit Trading LLC Andres L. Pimstein |
Miami, FL | Investment funds & advisory | $30M |
| Oct 3, 2008 | Petters Company Inc, Petters Group Worldwide Thomas Joseph Petters |
Wayzata, MN | Investment funds & advisory | $3.7B |
| Sep 15, 2008 | Harvest Income LLC Jeanne M. Rowzee, James R. Halstead, Robert T. Harvey |
Irvine, CA | Investment funds & advisory | $52.7M |
| Jun 25, 2008 | Alanar Inc, Sullivan First Baptist Vaughn A. Reeves Sr., Vaughn A. Reeves Jr., Jonathan Christopher Reeves, Joshua Craig Reeves |
Sullivan, IN | Investment funds & advisory | $120M |
| May 29, 2008 | City Limits Inc., Cal Productions William James Galyon Jr., Bradley J. Nozicka, Nova Michaels, Robert J. Rosepink, Alfred J. Olsen |
Tucson, AZ | Investment funds & advisory | $26M |
| May 14, 2008 | Accelerated Funding Group Jeanetta M. Standefor |
Altadena, CA | Investment funds & advisory | $18M |
| Jan 29, 2008 | Charles Nolon Bush | Port Orchard, WA | Investment funds & advisory | $30M |
| Jan 10, 2008 | National Investments Inc Bryan Scott Behrens |
Omaha, NE | Investment funds & advisory | $6.5M |
| Oct 5, 2007 | Tri-Link Consultants Inc Klaus Link |
Regina, Canada | Investment funds & advisory | $1.7M |
| Jul 24, 2007 | New Millenium Enterpreneurs LLC, Phoenixsurf.com Jonathan W. Mikula, Gabriel J. Frankewich |
Athens, GA | Investment funds & advisory | $41.9M |
| Jun 30, 2006 | Integrated Equities Inc. Jeffrey A. Weston |
Las Vegas, NV | Investment funds & advisory | $7.7M |
| Feb 27, 2006 | LifeClicks LLC, 12daily Pro Charis Johnson |
Charlotte, NC | Investment funds & advisory | $50M |
| Jun 9, 2005 | Focus Financial Associates Inc., Focus Development Center Inc. Max Francois, Aiby Pierre-Louis, Jean Fritz Montinard |
Miami, FL | Investment funds & advisory | $6M |
| Jun 7, 2005 | J.C. Jeffers & Company John C. Jeffers, John Minderhout |
Mentone, CA | Investment funds & advisory | $26.2M |
| Oct 20, 2003 | Donne Corporation Sherman S. Smith, Shawn Smith |
Napa, CA | Investment funds & advisory | $4M |
| Mar 3, 2003 | J.T. Wallenbrock & Associates, Citadel Capital Management Group Inc. Larry Toshio Osaki, Van Y. Ichinotsubo |
Upland, CA | Investment funds & advisory | $230M |
| Feb 27, 2003 | MacQueen Capital Management, Dividend Reinvestment Fund LLC Kenneth B. MacQueen |
Orland Park, IL | Investment funds & advisory | $1.4M |
| Mar 19, 2002 | First Interregional Equity Corp., First Interregional Advisors Corp. Richard Goettlich, Anthony Gianninoto, Eileen Laine |
Newark, NJ | Investment funds & advisory | $295M |
| Mar 14, 2002 | World Vision Entertainment Inc. Jamie P. Piromalli, Steven Brewer, A. Michael Jaillett, Richard Mann, Seth Miller |
Altamonte Springs, FL | Investment funds & advisory | $64M |
| Jun 22, 2001 | Heartland Financial Services Inc., JMS Investment Group LLC Daniel G. Danker, Kenneth R. Payne, Johann M. Smith, Constance Brooks-Kiefer |
Indianapolis, IN | Investment funds & advisory | $29M |
| Mar 9, 2001 | Global Telelink Services Inc., Global Contact Corporation Robert Smith III |
GA | Investment funds & advisory | $10M |
| May 31, 2000 | Sebastian International Enterprises Inc. Linda Ballou, Ronald Wackler, Bruce Harlan |
Rancho Mirage, CA | Investment funds & advisory | $17.7M |
| Jan 21, 2000 | Chemical Trust, U.S. Guarantee Corp, United Marketing Trust Virgil W. Womack, Clifton Wilkinson, Lewey L. Cato III, Alvin A. Tang, Kurtis Keith Lowe, Woody Keith Lowe, Jerry Lynn Ruyle, Robert Alen Blackburn |
FL | Investment funds & advisory | $17M |