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Former Janney Montgomery Scott Broker Apostolos Pitsironis Arrested For Defrauding Investors
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Investor Blames David Lerner Associates Broker Glenn Werner For Investment Losses
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JP Morgan Securities & Two Former Brokers Ordered to Pay $19M, Found Liable for Elder Financial Abuse
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Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares
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NY Retiree Says David Lerner Associates Broker Mike Norton Sold Her Unsuitable Energy 11 Investment
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SEC Seeks Court-Appointed Monitor To Protect Investors Victimized In Mass GPB Capital Ponzi Scam
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Woodbury Financial Services Broker Robert Ginsberg Accused of Unsuitable Investment Recommendations
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New York And Other States Sue GPB Capital Holdings For Mass Ponzi Scam
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Investors Seek $600K in Negligence Claims Naming Money Concepts Capital Broker Ray Reese
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GPB Capital Fraud Case Against Arete Wealth Management Results In $515K Arbitration Award
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SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
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Commonwealth Financial Network Broker Joseph Leonczyk Sold FS Energy and FS KKR Investments To Customers
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GPB Capital Principals Indicted
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Ex- CEO’s Lawsuit Against GPB Capital Holdings’ Prime Automotive Group May Proceed
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Triad Advisors Broker Darrin Cohen Under Scrutiny Over Possible GPB Private Placement Sales
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Ex-MML Investors Services Broker Gary Hammond Accused of Making $1.6M In Unauthorized Transactions
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Investment Recommendations Don’t Always Equate To a Customer’s Best Interests
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GME, AMC, BB and Other High Flying Stock Losses
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Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches
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Customers Seeking $1.8M Over Investments Recommended By Western International Securities’ David Bibo
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Crown Capital Securities Broker Lanny Howarter Is Named in $600K Unsuitability Claim
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David Lerner Associates Broker Rafael Klein May Have Unsuitably Recommended Energy 11 To Investors
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FINRA Orders Worden Capital Management to Pay Over $1.5M For Brokers’ Churning
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LPL Financial Acquires Lucia Securities
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SunTrust Brokers May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Investors
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LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision
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Utah Retirees Files $500K Investor Fraud Claim Over GPB & REIT Losses After Working With Triad Advisors & Broker Michael Payne
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Crown Capital Securities Broker Kenneth Barroga Under Scrutiny For Possibly Selling GPB Private Placements
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Transamerica To Pay $8.8M Over Unsuitable Mutual Fund, 529 Plans, and Variable Annuity Sales
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SEC Sanctions Voya Financial Advisors $23M Over Conflicts That Cost Customers
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Ex-Merrill Lynch Broker Gets Eight Years in Prison For Investor Fraud
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Customers Blame Ex-Wells Fargo Broker Clearing Services Herbert Weith For Variable Annuity Losses
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Ex- NPB Financial Broker Cynthia Cowden Allegedly Recommended Investments That Were Too Risky For Senior Investors
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RBC Capital Markets Broker Joseph Chu Accused of Overconcentrating Customers’ Accounts in Oil and Gas Investments
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Broker Tamber Proctor Accused of Unsuitably Recommending FS Energy & Power Fund and the Northstar REIT
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Texas Retiree Files GPB Capital Fraud Claim Against Calton & Associates
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Municipalities’ Inability to Pay Bond Interest Places Investors in a Precarious Position
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Spartan Capital Securities Broker Allegedly Churned in Retiree’s Account
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Spirit of America Energy Investors May Have Grounds for Unsuitability Claims Against David Lerner Associates
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Coastal Equities To Pay $280K To Elderly and Retiree Clients Over Allegedly Unsuitable Trades
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Texas Wells Fargo Broker Kurt Gunter Is Sanctioned Over Allegedly Unsuitable UIT Sales
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OCC Orders JPMorgan Chase Bank to Pay $250M For Inadequate Risk Management Practices
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Brokers May Have Unsuitably Recommended ARC NYC REIT To Retail Investors
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Fired Morgan Stanley Brokers May Have Grounds for Wrongful Termination Claims
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New York Yankees’ Aroldis Chapman Files $3M Investment Fraud Claim Against Pro Management Resources
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Frontier Communications to Sell $2.8B of Junk Bonds as Part of Bankruptcy Exit
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First Republic Securities Brokers Mathew Babrick & James Wilcox Allegedly Unsuitably Recommended Harvest PWS
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Spartan Capital Securities Broker Joseph Kelly Is Accused of Making Unsuitable Investment Recommendations
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Royal Alliance, Securities America, & Other Firms To Pay $3M for Allegedly Unsuitable iPath S&P 500 VIX Short–Term Futures ETN & Other ETP Sales
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Hannes Financial Services’ Ronald Hannes Allegedly Defrauded Woodbury Financial Customers
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Not All Resource Real Estate Opportunity REIT Investors May Have Been Apprised of Risks
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Sierra Income Investors are Losing Money
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Multiple Investors Accuse Prime Capital Investment Advisors and Ex-Capital Securities Broker Luke Johnson of Unsuitable Investment Recommendations
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Global Investment Advisory Services’ Felipe Vargas is Named in Customer’s $1.3M Barclays Bank iPath Series B S & P 500 Short Term Futures ETN Claim
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Chinese Tycoon Sues UBS for $500M Over Losses Involving Margin Loan
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Customers of Peregrine Private Capital’s Robert Smith File GPB Investment Fraud Claims
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UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages
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UBS Recommended Noble Stock to Customers Until Company’s Bankruptcy
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Leo Financial Advisor and Pruco Securities Broker Robert Luley Allegedly Unsuitably Recommended GPB Automotive to Customers
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Intrinsic Value Partners Co-Founder and Noble Capital Markets Broker Joseph Hain Faces Misrepresentations Allegations
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Investors Blame UBS Broker and Edinroc Financial Group Head Jose Cornide For Recommending YES Strategy
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Another Customer Files REIT Losses Claim Against Frank Briseno III of FSC Securities and Nettworth Financial
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Ex-SagePoint Financial Broker Troy Baily Sold Future Income Payments Securities to Investors
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Pinnacle Investments Broker Paul DiPietro Faces New Securities Fraud Claims
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Investors Have Lost Money in RW Holdings NNN Real Estate Investment Trust
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Pinnacle Wealth Management Advisor Andrew Perri Faces Misrepresentation and Unsuitability Allegations
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Customers Accuse Ex-Fortune Financial Services Broker Jonathan Freeze of Alternative Investment Fraud
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Brokers Who Sold Vida Longevity Fund Investments May Have Made Misrepresentations and Omissions
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Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
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Widow Blames David Lerner Associates, Broker Gary Isler For Retirement Losses
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SEC Says Fired LPL Financial Broker Stole $300K From 73-Year Old Retiree
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Barred Securities America Broker Jaime Westenbarger Faces Securities Fraud Allegations
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Investor Filed $150K GPB Private Placement Case Naming Capital Wealth Management Advisor Lee Duckworth
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FINRA Suspends Fired First Southern Securities Broker Jaime Sanchez Rivera in Puerto Rico
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Investors Seek $455K In Damages Involving National Asset Management Adviser Willard Pugh
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Ex-Kalos Capital Broker Curtis Whipple Accused of Unsuitability & Misrepresentation Involving UDF IV
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Florida Retiree Loses Money in GPB Private Placements & REITs While Under Supervision Of CFG Capital Management Advisor Mark Cline
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FINRA Bars Ex-Newbridge Securities Broker Marshall Isaacson Following Unsuitability Claims
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More Customers File Unsuitability Claims Against ex-HD Vest Investment Services Broker Michael Kamperman
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Monex Grupo Financiero Customers Lose $40M in Alleged Ponzi Scam
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Ex-GPB Capital Holdings CCO Pleads Guilty to Theft of Government Property
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Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy
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Former Customer of Ex-Raymond James Broker Paul Steffany Wins $320K Award
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Frontier Communication Bonds Investors May Be Able To Recover Losses Through Broker Fraud Claims
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Ex-American Northcoast Securities Broker Dominic Tropiano Allegedly Defrauded ETF Investors
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FS Energy & Power Fund Investors Should Talk To A Broker Fraud Lawyer
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Arkansas Retiree Who Worked With Ex-LPL Financial Broker Rhett Bedwell Sues for $500K in Damages
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SEC Accuses Financial Advisor And Strategic Wealth Advisor Group of Stealing $2.2M From Senior Investors
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Brokers Unsuitably Recommended NorthStar Healthcare Income Non-traded REIT To Many Retail Investors
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Dallas Retiree Accuses UBS Of Unsuitably Recommending YES Strategy
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What Are The Risks of High-Yield “Junk” Bonds?
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Retired Texas Couple Sues Christopher Fess of Fess Financial For Investment Losses
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SEC Says Joseph Stone Capital Broker Ross Barish Defrauded 16 Investors
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More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano
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Morgan Stanley Wealth Management To Pay Over $949K for Inadequately Supervising Ex-Broker Kevin Gunnip
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Walter Valenzuela Is Another Kestra Investment Services Broker Facing Fraud Allegations
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My Stockbroker Breached Our Contract. What To Do Next?
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Investor Accuses Kestra Broker Stephen Curry in $7.7M FINRA Complaint
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Former Hilliard Lyons Stockbroker Christopher Bennett Named in 15 Securities Fraud Claims
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Concorde Investment Services Broker William Morrow Accused by Over A Dozen Investors of Stockbroker Fraud
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Morgan Stanley Broker Jeffrey Leach Accused of Fraudulent Misrepresentation and Unsuitable Investment Recommendations
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BDC Scorecard Portfolio Series 18 Losses Potentially Caused by Broker Negligence
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Dai Securities Broker Sold GPB Private Placements To Customers While At Previous Brokerage Firms
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Ex- Morgan Stanley Broker Pleads Guilty to $6M Investment Fraud
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Fired Ameriprise Broker Bryant Caveness is Accused of Stockbroker Fraud & Ethics Violation Allegations
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Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading
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GPB Capital Holdings Reports a Nearly $200M Drop In Assets Under Management
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First Western Capital Management Allegedly Placed Over $666M of Customers’ Money into Investments Reserved for Qualified Institutional Buyers
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Ex-NEXT Financial Broker Charles Kulch Accused of Overconcentrating Over 100 Massachusetts’ Investors in Risky REITs
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Northwestern Mutual Investment Services Fined $350K for Inadequate Supervision of Ex-Broker Sampson Pearson
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Ex-Merrill Lynch Brokers Charles Kenahan & Dermod Cavanaugh Investigated for Alleged Churning After Over $200M in Losses
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Despite $1.8B Ponzi Scam Allegations, GPB Capital Received Up to $7M in PPP Loans
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Customers Blame Newbridge Securities Broker Kerri Jamison For Investment Losses
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Once Again, GPB Capital Holdings Reneges On Giving Key Tax Documents to Investors
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Why Should Many San Francisco Investors Avoid Non-Traded REITs?
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National Securities Broker Frank Avallone Allegedly Recommended Unsuitable Investments to Customers
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Investors Lose Money After Brokers Recommend FS KKR Capital Corp II Fund
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Investors Accuse Purepath Wealth Management Investment Advisor & Crown Capital Securities Broker Dennis Haywood of Making Inappropriate Investment Recommendations
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Brokers May Have Sold Granite Point Mortgage Trust REITs Even When Unsuitable for Investors
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Moody National REIT II Investors May Have Grounds For Stockbroker Misconduct Claims
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Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors
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SagePoint Financial Ordered to Pay Over $1.6M for Early Unit Investment Trust Rollovers That Cost Investors
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$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations
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Nine Energy Service Investors May Have Grounds for Bond Fraud Claims to Recover Losses
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Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19
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Centaurus Financial & JP Turner Brokers Including Cindy Chiellini, Atul Makharia and Greg Scott Young Targeted South Carolina & Tennessee Retirees in Structured Products Scam
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Elderly Retiree Claims Sheppard Mosher advisor Jason Mosher Overconcentrated His IRA With GPB Private Placements
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Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses
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Shepherd Smith Edwards & Kantas Investigates Financial Advisors That Recommended AMLP and Other Oil & Gas Master Limited Partnerships
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Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses
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SunTrust Investment Services to Pay $634K For Alleged Inadequate Supervision Of Unsuitable ETF Sales Practices
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Barred Wells Fargo Broker Named in Unsuitable Investment Fraud Case Recently Settled for $995K
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Massachusetts Sues GPB Capital Holdings for Defrauding Investors of Over $14M
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UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses
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Investor Sues Kestra Investment Services For IRA Losses Involving Barred Broker James Daughtry
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Investors Accuse InSight Securities Broker Carlos Legaspy of StockBroker Fraud & Negligence
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Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
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FMS Bonds Accused of Overconcentrating Texas Investor’s Portfolio in Bad Bonds, Including Frontier Communications Investments, Causes $1M in Losses
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Investors of Preferred Stocks Suffer Losses As Market Undergoes Nearly 5% Drop
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Top Warning Signs of Senior Investor Fraud that You Need to Be Aware of
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Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor
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Structured Products Are Not For Everyone In San Francisco. Here’s Why
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Securities Fraud In San Francisco: How You Can Protect Yourself
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Investing In Real Estate Investment Trusts (REITs): What Are They and What Risks Are Involved?
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National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products
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Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns
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Ex-Next Financial Broker Charles Doraine is Barred Following Puerto Rico Bond Fraud Allegations
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David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees
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Timothy Kenska and Citigroup Global Markets Investigated For Securities Fraud
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First Allied Securities Broker William Fox Accused of Making Unsuitable Alternative Investments Recommendations
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COVID-19 Exacerbates High Risks of Collateralized Loan Obligations for Investors
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As United States Oil Fund Plunges 30%, Retail ETF Investors Should Worry About Losses
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Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim
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Shepherd Smith Edwards and Kantas Investigates NAV REIT and Real Estate Interval Funds Sold By Advisor Group
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Shepherd Smith Edwards and Kantas Investigating Claims From LPL Financial Customers Who Invested in Nontraded REITS and Publicly Traded Property Interval Funds
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Tata Arbitrage Fund and ICICI Prudential Among the Arbitrage Funds That Temporarily Shuttered Because of Coronavirus
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Unsuitable Broker Recommendations of Structured Notes, Including Callable Yield Notes and Autocallable Securities May Be Causing Investors’ Losses During COVID-19
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The Top Types of Securities Fraud All Investors Must Know
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Market Volatility Caused by COVID-19 Negatively Impacts Leveraged ETNs & Inverse ETPs
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex-Stifel Nicolaus Broker Steven Rodemer
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Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving Former LPL Financial Broker Mark Lamkin
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Shepherd Smith Edwards and Kantas Continues to Investigate Investor Losses Involving Robinhood Financial Outages Before COVID-19
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Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving VelocityShares 3x Long Crude Oil ETN (UWT)
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Leveraged UBS ETRACS ETNs After COVID-19 Market Crash Causes Investor Losses
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Las Pérdidas en las Inversiones durante el Coronavirus tiene a los Inversionistas Buscando Respuestas
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What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19
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Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19
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Ex-Kestra Financial Broker Involved in Investor Fraud Claims and Accused of Unauthorized Trading
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Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Non-traded REIT Preferred Apartment Communities
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Broker Fraud and Investment Losses During The Time of The Coronavirus
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Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation
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Jack Jones and Mark Robare of Robare & Jones Wealth Management are the Subjects of a FINRA Complaint Involving GPB Investments and Other Privately Traded Investments
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Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving Midstream MLPs
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SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler
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Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors
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Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Robinhood Financial
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Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims
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Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M
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Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations
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Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Investment Adviser George Marwieh Over Future Income Payments Notes
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SSEK Investigates Stockbroker Misconduct Claims Involving Ex-Commonwealth Capital Broker Kimberly Springsteen-Abbott
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad
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GPB Capital Sued Again: A Class Action Fraud Case and One Lawsuit by Volkswagen
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-NYLIFE Securities Broker Over Future Income Payments Sales
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Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex- Broker Ma Rosa Linan Abrego and Merrill Lynch
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Forest Securities Broker Jeffrey Nimmow Who Sold Woodbridge Notes
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Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud
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GPB Capital Won’t Be Providing Key Tax Documents to Over 6,500 Investors By April 15
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Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Non-Traditional ETFs
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Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills
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Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann
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Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes
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Shepherd Smith Edwards and Kantas Investigates Ex-Cetera Advisors Broker Roger Owens
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SSEK Investigates UBS Broker Christopher Tolman For UBS YES Strategy Recommendations
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Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini
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Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano
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SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen
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SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements
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SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz
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Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser
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Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees
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SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver
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Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill
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Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages
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Kristian Finfrock, Founder of Retirement Income Strategies, is the subject of Investor Complaints Over GPB Capital and Other Esoteric Investments
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Shepherd Smith Edwards and Kantas Investigates Ex-Royal Alliance Broker Gary Basralian
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Shepherd Smith Edwards and Kantas Investigates NEXT Financial Group Over Non-Traded REIT Sales
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Shepherd Smith Edwards and Kantas investigates Martin David Batstone and Newbridge Securities Corp.
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving SBLOC Losses
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Shepherd Smith Edwards and Kantas Investigates Ex-Triad Advisors Broker Michael Sievert For Selling GPB Private Placements
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Woodbury Financial Services Broker Robert Hayes Hoffman
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Shepherd Smith Edwards and Kantas Investigates Investor Loses Involving Steepener Structured Notes
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Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Centaurus Financial Broker Katherine Nishnic
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Shepherd Smith Edwards and Kantas Investigates Sagepoint Financial Over GPB Private Placement Sales
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Shepherd Smith Edwards and Kantas Continues to Investigate Claims Involving Merrill Lynch Strategic Return Notes
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Shepherd Smith Edwards and Kantas Investigates Kalos Capital Broker Darren Kubiak Over GPB Investments and Exchange-Traded Funds Sales
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan
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Shepherd Smith Edwards and Kantas Investigates Claims Involving NYPPEX Broker Laurence Allen
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First Broker Fraud Case Involving GPB Capital Investments Gears Up for Spring FINRA Hearing
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Lincoln Investment Planning Broker Lester Burroughs
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Securities America Broker Ronald Roach
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Former GPB Capital Holdings Partner Doubles Down on Ponzi Scam Claims
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Leveraged Loan Defaults Hit $23B
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UBS Ordered to Pay Investor Over $150K In Puerto Rico Bonds and Closed-End Bond Fund Case
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Another GPB Capital Holdings Auditor Resigns
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Commonwealth Financial Network Broker Gerald Eaton
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Ex-UBS Puerto Rico Broker David Lugo Ordered to Appear in Federal Court
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National Financial Services Gives GPB Investors Deadline to Move Investments To Another Platform
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Shepherd Smith Edwards and Kantas Investigates Claims Involving 1 Global Capital Investments
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Summit Investment to Pay Investor $100K for LJM Preservation and Growth Fund
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Shepherd Smith Edwards and Kantas Investigates Ex-Sigma Financial Broker Frederick Randhahn For Selling $625K of Woodbridge Promissory Notes
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Shepherd Smith Edwards and Kantas Pursues GPB Capital Investor Fraud Claim Against Kalos Capital, Ameriprise Financial and Ex-Broker Gary Imel
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Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Capital Financial Investments and Ex- Broker Sean Kelly
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Kalos Financial Sends Letter to Investor Defending Its Sale of GPB Private Placements
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Hong Kong Fines UBS Group $51M For Overcharging Clients
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Shepherd Smith Edwards and Kantas Investigates GPB Investor Claims Against Ladenburg Thalmann’s Triad Advisors
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New Class Action Against GPB Capital Offers New Details Into Alleged $1.8B Ponzi Scam
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Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving First Standard Financial and Brokers Philip J. Sparacino and Gabriel Block
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9th Circuit Strikes Down JP Morgan Securities’ Wrongful Termination Win
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Morgan Stanley Pays $182K to Clients of Ex-Broker Justin Amaral
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SEC’s Broker-Dealer Fraud Case Against Cetera Advisors Reaches $21M
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Shepherd Smith Edwards and Kantas Investigates Centaurus Financial Brokers Ricky Mantei and Cindy Chiellini
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Shepherd Smith Edwards & Kantas Investigates Ex-Raymond James & Associates Advisor Stuart Nichols
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Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision
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Shepherd Smith Edwards and Kantas Investigates Claims by Clients of Innovation Partners
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Ex-Texas Broker With Morgan Stanley and Ameriprise Fined Over Allegedly Unauthorized Trades
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GPB Capital CCO Michael Cohn is Charged with Obstruction
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving ex-Morgan Stanley Brokers Ami Forte and Charles Lawrence
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Shepherd Smith Edwards and Kantas Investigates Daniel Gordon Maughan and Financial West Group
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Shepherd Smith Edwards and Kantas Investigates Complaints Involving Ex-Raymond James Broker John Wyshak
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Investor Funds Take on Big Losses Because of Argentina Stock Market Exposure
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Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson
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Shepherd Smith Edwards and Kantas Investigating Claims Involving Ex-Hilltop Securities Broker Richard Cagle
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Shepherd Smith Edwards and Kantas Investigates Ex-Wells Fargo Broker Leonard Kinsman
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Stifel Nicolaus to Pay $1.5M For Failure to Supervise Broker Kenneth Blumberg
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What’s The Connection Between Kalos Capital And GPB Capital?
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Shepherd Smith Edwards & Kantas Investigates Jeffery Vasiloff, Former LPL Financial Advisor
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Shepherd Smith Edwards and Kantas Files Investor Fraud Lawsuit Against Money Concepts Capital for GPB Capital Sales
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Three Ex-Morgan Stanley Brokers Accused of Broker Misconduct
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Raymond James To Pay $15M for Improper Advisory Fees and Commission Charges
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SSEK Law Firm Investigates Ex-Broker James T. Flynn and Voya Financial Advisors
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Alleged $125M Offering Fraud Touted “Highly Profitable” Trading Strategy
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Investors Blame Brokers Matthew Buchsbaum And Scott Rosenberg For UBS YES Strategy Losses
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Fraudulent Binary Options Led to Tens of Millions of Dollars in Investor Losses
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SSEK Investigates Stockbroker Eddie Lyons of Raymond James & Associates
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Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations
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GPB Fails to Meet Its Own Disclosure Deadline, Fires Prime Automotive Group CEO
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Shepherd Smith Edwards & Kantas investigates James T. Booth and LPL/INVEST
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Shepherd Smith Edwards & Kantas investigates Marcus Boggs, a former Merrill Lynch Financial Advisor
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JP Morgan Settles Broker Fraud Claim for $14M
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Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS
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Investor Files GPB Private Placement Claim Against Kalos Capital
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Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing
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Ex-Cetera Broker from Texas is Accused of Defrauding Investors
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American Realty Capital Properties to Pay Investors $1B
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Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud
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Cetera Advisors Accused of Defrauding Investors of $10M
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Cambridge Capital Accused of Defrauding Retired NFL Athletes
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Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud
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UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud
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Financial Sherpa Accused of Cherry Picking
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UBS Yes Strategy Investors File Fraud Claims
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Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors
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Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M
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Former Broker Pleads Guilty in Castleberry Financial Fraud
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Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses
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Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit
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Commonwealth Accused of Not Disclosing Revenue Deal to Clients
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Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses
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Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds
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Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct
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Mispriced Funds and Elder Investor Fraud Lead to SEC Cases
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Centaurus Structured Investment Loss Lawyers
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Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements
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SSEK Investigates Darren Oglesby and Money Concepts Capital
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GPB Capital Sued by Another Business Partner Alleging Financial Misconduct
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56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
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Fidelity’s National Financial Services Orders GPB Private Placements Removed
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Nomura Settles Two MBS Fraud Cases for $25M
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GPB Capital Funds Continue To Plunge In Value
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AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M
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Aequitas Ponzi Fraud Case Results in $234.6M Settlement
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CYES Strategy Investments Prove Too Risky for Investors
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Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges
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Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision
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Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
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Legend Securities to Pay Almost $967K to Investor
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Former NY Trader Accused of $19.3M Ponzi Fraud
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Purshe Kaplan to Pay $9.5M to Native American Tribe
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Massachusetts Fines LPL Financial $1.1M
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Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements
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Investors Awarded $3M In Claim Against Spire Securities
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Healthcare Investment Scam Targeted Dozens of Investors
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REIT Investors Suffer Major Losses
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Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes
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Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
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Recent SEC Cases Involves Market Rigging
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Ex-Windsor Street Capital Broker is Barred
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Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud
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Wells Fargo Sued for More than $1B in RMBS Fraud Case
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Another Ex-LPL Broker Barred Following Misrepresentation Allegations
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Recent Ponzi Fraud Allegedly Targeted College Grads
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FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations
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Updated:
Stephen Brandon Anderson Accused of Multiple SEC Findings
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Updated:
Ex-Morgan Stanley Broker Suspended Over Alleged Churning
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FINRA Bars Additional Bad Brokers from Big Firms
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Updated:
Former Och-Ziff Capital Executive Admits To Lying
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Investors Defrauded in Alleged $1.4M Prime Bank Fraud
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SEC Announces $4.5M Whistleblower Award
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Newbridge Securities Corporation in Financial Trouble
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SSEK Investigates Harvest Volatility Management Strategies
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Former LPL Financial Broker is Barred from the Securities Industry
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Morgan Stanley Ordered to Pay $519K to Retired Couple
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Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
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Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades
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Former Janney Montgomery Scott Broker Faces Charges
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Stanford Ponzi Fraud Victims Awarded $1.4M
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Fund Manager LJM Partners Sues Over Volatility Losses
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Updated:
Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme
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AXA Financial Ordered to Pay $3.2M to Farming Family
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Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement
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Morgan Stanley To Pay $150M Over Mortgage-Backed Securities
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Claim Filed Against Arkadios Over GPB Capital Private Placements
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Buckman, Buckman & Reid To Pay Customers $205K
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Updated:
Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging
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Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans
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Updated:
Hundreds of Retail Investors Harmed in Two Separate Fraud Cases
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Updated:
Ex-Aegis Capital Broker is Barred Over Churning Allegations
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LPL Financial To Pay $450K Fine to Texas Investors
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Updated:
SEC Charges Abraaj Investment Management With Defrauding Investors
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Updated:
Investment Adviser is Accused of Defrauding More than $570K
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Former Woodbridge CEO Now Faces Criminal Charges
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Updated:
“Pastors” Accused of $25M Ponzi Scam
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Updated:
Direct Lending Investments Face SEC $11M Fraud Charges
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Updated:
Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced
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Updated:
Texas Man Pleads Guilty In $360M Ponzi Scam
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Updated:
Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney
:
Updated:
Sweetwater Investments Plead Guilty To $3M Investor Fraud
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Unregistered Investment Adviser Accused in $29M Ponzi Scam
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Updated:
Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy
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Updated:
Ex-UBS Puerto Rico Broker is Sentenced to Prison
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Updated:
Family Files $18M Investor Fraud Lawsuit Against Securities America Alleging Broker Fraud
:
Updated:
The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company
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Updated:
NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended
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Updated:
Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client
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79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
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Updated:
Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors
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Updated:
Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
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Former Alexander Capital Broker Accused of Churning Must Pay Over $302K
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SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud
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Investor Lawyers Blog