Category: Uncategorized

The Wolper Law Firm and Doss Law Firm, LLC are investigating the alleged fraudulent “pump and dump” scheme involving Ostin Technology Group Co., Ltd., which trades under the stock ticker OST (hereinafter, the “OST Pump and Dump Scheme”).  Ostin Technology Group is a company engaged in the manufacturing of display modules used in consumer electronics, […]

The Wolper Law Firm represents investors around the country who have lost money as a result of failed investment strategies or products.  If a brokerage firm, investment adviser or other financial services industry professional recommended inappropriate investments, or failed to conduct adequate due diligence of recommended investment products, you may have a viable claim for […]

Broker’s History Timothy Nathaniel Darnell (“Nathanial Daniel”) (CRD#: 173962) is a dually registered financial advisor and investment advisor with Bankers Life Securities, Inc. in Atlanta, GA. He entered the securities industry in 2016 and has worked for Bankers Life for the entirety of his career in financial services.  Nathaniel Darnell is also an insurance salesman […]

Premium financed life insurance transactions have become more popular in recent years.  From 2008-2020, the United States operated in an artificially low interest rate environment, allowing people to borrow money at historically low rates.  Insurance agents have responded to this phenomenon by selling “large,” previously unaffordable Indexed Universal Life Insurance (IUL) or Whole Life Insurance […]

Yvette Villanueva Barrera (CRD#: 7306089) is a registered investment advisor with Foundations Investment Advisors LLC in New Braunfels, TX. Broker’s History She entered the securities industry in 2020 and previously worked with Texas Financial Advisory. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission (SEC), in April 2024, […]

The Wolper Law Firm is investigating the alleged First Liberty Building and Loan, LLC (“First Liberty”) and Edwin Frost $140 million Ponzi Scheme.  On July 10, 2025, the Securities and Exchange Commission (“SEC”) filed an enforcement proceeding against First Liberty and Edwin Frost for alleged securities fraud. A copy of the Complaint is attached hereto:  […]

Roger Albert Taft Gallagher (CRD#: 5513745) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2012 and previously worked with Morgan Stanley. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2025, without admitting or denying the findings, Gallagher […]

Structured Notes, including Auto-Callable Structured Notes, have become popular among retail securities investors.  Most brokerage firms offer Auto-Callable Structured Notes to their clients and market those products as safe, income producing investments.  In reality, investing in Auto-Callable Structured Notes is a high-risk proposition and often not suitable for most retail securities investors.  As reported by […]

Christopher Barrett Reynolds (CRD#: 5976029) was a previously registered broker. Broker’s History He entered the securities industry in 2017 and previously worked with Wesbanco Securities, Inc., and Pruco Securities, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2024, without admitting or denying the findings, […]

Larry Joseph Michaels (CRD#: 4351477) is a registered Broker and Financial Advisor with Crown Capital Securities, L.P., in Orange, CA.   Broker’s Background He entered the securities industry in 2001, and previously worked with Prudential Securities Incorporated; Pruco Securities Corporation; New England Securities; Crown Capital Securities, L.P.; J.P Turner & Company, LLC; and Legacy Advisory […]