David Mura investigated for allegedly soliciting investments in unregistered securities to unaccredited investors

David Mura, formerly associated with J.P. Turner & Co. and Aegis Capital violated federal laws designed to protect investors when he solicited investments in unregistered securities to unaccredited investors, according to a cease and desist order issued by the Securities and Exchange Commission (“SEC”). Mura violated the federal securities laws while serving as the branch… Read more »

Jaime Andres Diaz Accused of Converting Client Funds

Jaime Andres Diaz, a New York stockbroker, has been accused of converting hundreds of thousands of dollars from his clients while falsely assuring them that their funds would be invested in real estate development and other projects. Diaz was charged by the securities industry regulators with converting approximately $850,000 from customers, one of whom was… Read more »

New York Stockbroker Accused of Fraud

Former New York stockbroker Mark Hotton was accused by the financial industry regulators of stealing at least $5.9 million from his customers and rerouting at least $2.6 million from his customers’ Oppenheimer brokerage accounts to his outside business activities. Hotton was also sued recently by the producers of a Broadway musical for allegedly swindling them… Read more »