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Mika Meyers, PLC was recently retained as amicus-curiae counsel for the North American Securities Administrators Association, Inc. (“NASAA”) in a case pending before the Michigan Court of Appeals. The central issue in the case is whether the lower court applied the correct test when analyzing whether certain promissory notes issued by the Appellee…
Centaurus Financial stockbroker Bill Burks II of Flower Mound, Texas was the subject of four customer complaints in 2021, with the allegations against him including unsuitable investment recommendations and misrepresentations in the sale of securities. All of the cases resulted in monetary settlements being paid out to the victims. Mr. Burks…
Former SagePoint Financial stockbroker Cynthia Komarek of Barrington, Illinois was recently barred from the securities brokerage industry by the Financial Industry Regulatory Authority after failing to cooperate with the regulator’s investigation into alleged “selling away” of investments that were not approved by SagePoint. Komarek was fired by SagePoint in August 2020,…
Michigan’s securities regulator has issued cease and desist orders against Retire Happy, LLC and Josh Stoll in connection with allegations that they sold unregistered non-exempt securities issued by DNF Gap Funding, LLC, and CryoTherm USA, Inc. and misrepresented material facts about the securities to investors. The Michigan Uniform Securities Act (“MUSA”) requires…