Andrew C. Snyder Header


Office Location(s)
Metro Denver, Colorado
and Frisco, Colorado

Main Office:
8400 E. Prentice Avenue, Penthouse Suite
Greenwood Village, CO 80111

Tel: (303) 409-7777
Cell:(303) 877-3877

www.acslawyer.com

Case & Claim Documents

Case Name:

Providence Financial Services, Inc. et al. Case Overview

Case Number:

2013CV31667 Case & Claim Documents

Court:

Denver District Court News

Court Docket Activity

On April 8, 2013, the Colorado Division of Securities filed an action for violation of securities laws against Perry Sawano and his related entities, Providence Financial Services, Inc., d/b/a Integrity Financial Consulting, RMC Financial, LLC ("RMC), Delta Real Estate Fund, Ltd. ("Delta"), and Aspen Ridge Investments, Inc. ("Aspen"). The Complaint, as amended, is based upon, (Claim One) committing investment advisory fraud as to all Defendants; (Claim Two) committing securities fraud in connection with the offer or sale of securities based upon the making of material misrepresentations or omitting material facts, or conducting an investment advisory business in such a manner that it acted as a fraud or deceit upon their investment advisory clients, or was deceptive and manipulative, as to all Defendants; (Claim Three) committing custody violations with regard to client funds, as to all Defendants (Claim Four) a claim against co-Defendant Hawkins regarding record-keeping violations; (Claim Five) for the imposition of a constructive trust or equitable lien as to the assets of the businesses of the Relief Defendants, RMC, Delta, and Aspen.

Mr. Snyder was appointed as Receiver as part of the securities litigation.