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This investigation is based on publically disclosed FINRA action relating to Malcolm Babin. 

This investigation was triggered by FINRA news that it is investigating Ahmad “Kevin” Wares for stockbroker misconduct.

Shiloh shareholder sues for securities fraud

This is a class action alleges that Shiloh failed to properly account for certain costs and therefore improperly inflated net income.


This federal securities class action alleges executives of Liquid Holdings Group, LLC lied to investors about it revenue recognition practices especially relating to an outstanding debt owed by an affiliated company.


Cellceutix sued for shareholder fraud

The lawsuit alleges a host of material nondisclosures by the company artificially inflated the stock price, including that (1) Cellceutix’s antibiotic drug candidate Brilacidin was ineffective; (2) Cellceutix’s anti-cancer drug candidate Kevetrin does not activate the p-53 gene, which suppresses tumors; and (3) Cellceutix’s co-founder and Director, Krishna Menon, did not earn his PhD in Pharmacology from Harvard University. 

Chrysler securities fraud class action

The lawsuit alleges that Chrysler failed to disclose flaws in its manufacturing process that led to millions of vehicles being recalled as those vehicles were unsafe to drive.

MRVL shareholder lawsuit

This lawsuit alleges that Marvell and its top executives oversaw a flawed process that resulted in serious revenue recognition problems in the second quarter of fiscal year 2016. First reports indicate that the company may have overstated revenues by 7 to 8%.

SFX shareholder sues for securities fraud

This lawsuit alleges that the CEO artificially inflated the SFXE stock price by routinely stating he intended to purchase all remaining shares, but in fact the CEO and the company knew that the CEO would find it impossible to get proper funding for such claims.

Investment Technology Shareholder brings class action

This lawsuit alleges that Investment Technology Group operated an undisclosed trading platform that apparently used pending client trade information to make undisclosed trades.

This lawsuit alleges that executives of On Deck Capital made materially false and misleading statements regarding On Deck Capital’s business, operational and compliance policies including the true rate of default for the company’s loan portfolio was steadily increasing and the true value of the company’s loan portfolio was in material decline.