COVID-19 UPDATE: We're Open and Ready to Serve Our ClientsLearn More Here
:
Updated:
Spartan Capital Securities Broker Joseph Kelly Is Accused of Making Unsuitable Investment Recommendations
:
Updated:
Royal Alliance, Securities America, & Other Firms To Pay $3M for Allegedly Unsuitable iPath S&P 500 VIX Short–Term Futures ETN & Other ETP Sales
:
Updated:
Hannes Financial Services’ Ronald Hannes Allegedly Defrauded Woodbury Financial Customers
:
Updated:
Not All Resource Real Estate Opportunity REIT Investors May Have Been Apprised of Risks
:
Updated:
Sierra Income Investors are Losing Money
:
Updated:
Multiple Investors Accuse Prime Capital Investment Advisors and Ex-Capital Securities Broker Luke Johnson of Unsuitable Investment Recommendations
:
Updated:
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
:
Updated:
Chinese Tycoon Sues UBS for $500M Over Losses Involving Margin Loan
:
Updated:
Customers of Peregrine Private Capital’s Robert Smith File GPB Investment Fraud Claims
:
Updated:
UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages
:
Updated:
UBS Recommended Noble Stock to Customers Until Company’s Bankruptcy
:
Updated:
Leo Financial Advisor and Pruco Securities Broker Robert Luley Allegedly Unsuitably Recommended GPB Automotive to Customers
:
Updated:
Intrinsic Value Partners Co-Founder and Noble Capital Markets Broker Joseph Hain Faces Misrepresentations Allegations
:
Updated:
Investors Blame UBS Broker and Edinroc Financial Group Head Jose Cornide For Recommending YES Strategy
:
Updated:
Another Customer Files REIT Losses Claim Against Frank Briseno III of FSC Securities and Nettworth Financial
:
Updated:
Ex-SagePoint Financial Broker Troy Baily Sold Future Income Payments Securities to Investors
:
Updated:
Pinnacle Investments Broker Paul DiPietro Faces New Securities Fraud Claims
:
Updated:
Investors Have Lost Money in RW Holdings NNN Real Estate Investment Trust
:
Updated:
Pinnacle Wealth Management Advisor Andrew Perri Faces Misrepresentation and Unsuitability Allegations
:
Updated:
Customers Accuse Ex-Fortune Financial Services Broker Jonathan Freeze of Alternative Investment Fraud
:
Updated:
Brokers Who Sold Vida Longevity Fund Investments May Have Made Misrepresentations and Omissions
:
Updated:
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
:
Updated:
Widow Blames David Lerner Associates, Broker Gary Isler For Retirement Losses
:
Updated:
SEC Says Fired LPL Financial Broker Stole $300K From 73-Year Old Retiree
:
Updated:
Barred Securities America Broker Jaime Westenbarger Faces Securities Fraud Allegations
:
Updated:
Investor Filed $150K GPB Private Placement Case Naming Capital Wealth Management Advisor Lee Duckworth
:
Updated:
FINRA Suspends Fired First Southern Securities Broker Jaime Sanchez Rivera in Puerto Rico
:
Updated:
Investors Seek $455K In Damages Involving National Asset Management Adviser Willard Pugh
:
Updated:
Ex-Kalos Capital Broker Curtis Whipple Accused of Unsuitability & Misrepresentation Involving UDF IV
:
Updated:
Florida Retiree Loses Money in GPB Private Placements & REITs While Under Supervision Of CFG Capital Management Advisor Mark Cline
:
Updated:
FINRA Bars Ex-Newbridge Securities Broker Marshall Isaacson Following Unsuitability Claims
:
Updated:
More Customers File Unsuitability Claims Against ex-HD Vest Investment Services Broker Michael Kamperman
:
Updated:
Monex Grupo Financiero Customers Lose $40M in Alleged Ponzi Scam
:
Updated:
Ex-GPB Capital Holdings CCO Pleads Guilty to Theft of Government Property
:
Updated:
Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy
:
Updated:
Former Customer of Ex-Raymond James Broker Paul Steffany Wins $320K Award
:
Updated:
Frontier Communication Bonds Investors May Be Able To Recover Losses Through Broker Fraud Claims
:
Updated:
Ex-American Northcoast Securities Broker Dominic Tropiano Allegedly Defrauded ETF Investors
:
Updated:
FS Energy & Power Fund Investors Should Talk To A Broker Fraud Lawyer
:
Updated:
Arkansas Retiree Who Worked With Ex-LPL Financial Broker Rhett Bedwell Sues for $500K in Damages
:
Updated:
SEC Accuses Financial Advisor And Strategic Wealth Advisor Group of Stealing $2.2M From Senior Investors
:
Updated:
Brokers Unsuitably Recommended NorthStar Healthcare Income Non-traded REIT To Many Retail Investors
:
Updated:
Dallas Retiree Accuses UBS Of Unsuitably Recommending YES Strategy
:
Updated:
What Are The Risks of High-Yield “Junk” Bonds?
:
Updated:
Retired Texas Couple Sues Christopher Fess of Fess Financial For Investment Losses
:
Updated:
SEC Says Joseph Stone Capital Broker Ross Barish Defrauded 16 Investors
:
Updated:
More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano
:
Updated:
Morgan Stanley Wealth Management To Pay Over $949K for Inadequately Supervising Ex-Broker Kevin Gunnip
:
Updated:
Walter Valenzuela Is Another Kestra Investment Services Broker Facing Fraud Allegations
:
Updated:
My Stockbroker Breached Our Contract. What To Do Next?
:
Updated:
Investor Accuses Kestra Broker Stephen Curry in $7.7M FINRA Complaint
:
Updated:
Former Hilliard Lyons Stockbroker Christopher Bennett Named in 15 Securities Fraud Claims
:
Updated:
Concorde Investment Services Broker William Morrow Accused by Over A Dozen Investors of Stockbroker Fraud
:
Updated:
Morgan Stanley Broker Jeffrey Leach Accused of Fraudulent Misrepresentation and Unsuitable Investment Recommendations
:
Updated:
BDC Scorecard Portfolio Series 18 Losses Potentially Caused by Broker Negligence
:
Updated:
Dai Securities Broker Sold GPB Private Placements To Customers While At Previous Brokerage Firms
:
Updated:
Ex- Morgan Stanley Broker Pleads Guilty to $6M Investment Fraud
:
Updated:
Fired Ameriprise Broker Bryant Caveness is Accused of Stockbroker Fraud & Ethics Violation Allegations
:
Updated:
Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading
:
Updated:
GPB Capital Holdings Reports a Nearly $200M Drop In Assets Under Management
:
Updated:
First Western Capital Management Allegedly Placed Over $666M of Customers’ Money into Investments Reserved for Qualified Institutional Buyers
:
Updated:
Ex-NEXT Financial Broker Charles Kulch Accused of Overconcentrating Over 100 Massachusetts’ Investors in Risky REITs
:
Updated:
Northwestern Mutual Investment Services Fined $350K for Inadequate Supervision of Ex-Broker Sampson Pearson
:
Updated:
Ex-Merrill Lynch Brokers Charles Kenahan & Dermod Cavanaugh Investigated for Alleged Churning After Over $200M in Losses
:
Updated:
Despite $1.8B Ponzi Scam Allegations, GPB Capital Received Up to $7M in PPP Loans
:
Updated:
Customers Blame Newbridge Securities Broker Kerri Jamison For Investment Losses
:
Updated:
Once Again, GPB Capital Holdings Reneges On Giving Key Tax Documents to Investors
:
Updated:
Why Should Many San Francisco Investors Avoid Non-Traded REITs?
:
Updated:
National Securities Broker Frank Avallone Allegedly Recommended Unsuitable Investments to Customers
:
Updated:
Investors Lose Money After Brokers Recommend FS KKR Capital Corp II Fund
:
Updated:
Investors Accuse Purepath Wealth Management Investment Advisor & Crown Capital Securities Broker Dennis Haywood of Making Inappropriate Investment Recommendations
:
Updated:
Brokers May Have Sold Granite Point Mortgage Trust REITs Even When Unsuitable for Investors
:
Updated:
Moody National REIT II Investors May Have Grounds For Stockbroker Misconduct Claims
:
Updated:
Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors
:
Updated:
SagePoint Financial Ordered to Pay Over $1.6M for Early Unit Investment Trust Rollovers That Cost Investors
:
Updated:
$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations
:
Updated:
Nine Energy Service Investors May Have Grounds for Bond Fraud Claims to Recover Losses
:
Updated:
Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19
:
Updated:
Centaurus Financial & JP Turner Brokers Including Cindy Chiellini, Atul Makharia and Greg Scott Young Targeted South Carolina & Tennessee Retirees in Structured Products Scam
:
Updated:
Elderly Retiree Claims Sheppard Mosher advisor Jason Mosher Overconcentrated His IRA With GPB Private Placements
:
Updated:
Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Financial Advisors That Recommended AMLP and Other Oil & Gas Master Limited Partnerships
:
Updated:
Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses
:
Updated:
SunTrust Investment Services to Pay $634K For Alleged Inadequate Supervision Of Unsuitable ETF Sales Practices
:
Updated:
Barred Wells Fargo Broker Named in Unsuitable Investment Fraud Case Recently Settled for $995K
:
Updated:
Massachusetts Sues GPB Capital Holdings for Defrauding Investors of Over $14M
:
Updated:
UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses
:
Updated:
Investor Sues Kestra Investment Services For IRA Losses Involving Barred Broker James Daughtry
:
Updated:
Investors Accuse InSight Securities Broker Carlos Legaspy of StockBroker Fraud & Negligence
:
Updated:
Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
:
Updated:
FMS Bonds Accused of Overconcentrating Texas Investor’s Portfolio in Bad Bonds, Including Frontier Communications Investments, Causes $1M in Losses
:
Updated:
Investors of Preferred Stocks Suffer Losses As Market Undergoes Nearly 5% Drop
:
Updated:
Top Warning Signs of Senior Investor Fraud that You Need to Be Aware of
:
Updated:
Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor
:
Updated:
Structured Products Are Not For Everyone In San Francisco. Here’s Why
:
Updated:
Securities Fraud In San Francisco: How You Can Protect Yourself
:
Updated:
Investing In Real Estate Investment Trusts (REITs): What Are They and What Risks Are Involved?
:
Updated:
National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products
:
Updated:
Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns
:
Updated:
Ex-Next Financial Broker Charles Doraine is Barred Following Puerto Rico Bond Fraud Allegations
:
Updated:
David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees
:
Updated:
Timothy Kenska and Citigroup Global Markets Investigated For Securities Fraud
:
Updated:
First Allied Securities Broker William Fox Accused of Making Unsuitable Alternative Investments Recommendations
:
Updated:
COVID-19 Exacerbates High Risks of Collateralized Loan Obligations for Investors
:
Updated:
As United States Oil Fund Plunges 30%, Retail ETF Investors Should Worry About Losses
:
Updated:
Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim
:
Updated:
Shepherd Smith Edwards and Kantas Investigates NAV REIT and Real Estate Interval Funds Sold By Advisor Group
:
Updated:
Shepherd Smith Edwards and Kantas Investigating Claims From LPL Financial Customers Who Invested in Nontraded REITS and Publicly Traded Property Interval Funds
:
Updated:
Tata Arbitrage Fund and ICICI Prudential Among the Arbitrage Funds That Temporarily Shuttered Because of Coronavirus
:
Updated:
Unsuitable Broker Recommendations of Structured Notes, Including Callable Yield Notes and Autocallable Securities May Be Causing Investors’ Losses During COVID-19
:
Updated:
The Top Types of Securities Fraud All Investors Must Know
:
Updated:
Market Volatility Caused by COVID-19 Negatively Impacts Leveraged ETNs & Inverse ETPs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex-Stifel Nicolaus Broker Steven Rodemer
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving Former LPL Financial Broker Mark Lamkin
:
Updated:
Shepherd Smith Edwards and Kantas Continues to Investigate Investor Losses Involving Robinhood Financial Outages Before COVID-19
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving VelocityShares 3x Long Crude Oil ETN (UWT)
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Leveraged UBS ETRACS ETNs After COVID-19 Market Crash Causes Investor Losses
:
Updated:
Las Pérdidas en las Inversiones durante el Coronavirus tiene a los Inversionistas Buscando Respuestas
:
Updated:
What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19
:
Updated:
Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19
:
Updated:
Ex-Kestra Financial Broker Involved in Investor Fraud Claims and Accused of Unauthorized Trading
:
Updated:
Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Non-traded REIT Preferred Apartment Communities
:
Updated:
Broker Fraud and Investment Losses During The Time of The Coronavirus
:
Updated:
Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation
:
Updated:
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
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving Midstream MLPs
:
Updated:
SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler
:
Updated:
Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors
:
Updated:
Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Robinhood Financial
:
Updated:
Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims
:
Updated:
Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M
:
Updated:
Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations
:
Updated:
Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Investment Adviser George Marwieh Over Future Income Payments Notes
:
Updated:
SSEK Investigates Stockbroker Misconduct Claims Involving Ex-Commonwealth Capital Broker Kimberly Springsteen-Abbott
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad
:
Updated:
GPB Capital Sued Again: A Class Action Fraud Case and One Lawsuit by Volkswagen
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-NYLIFE Securities Broker Over Future Income Payments Sales
:
Updated:
Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex- Broker Ma Rosa Linan Abrego and Merrill Lynch
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Forest Securities Broker Jeffrey Nimmow Who Sold Woodbridge Notes
:
Updated:
Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud
:
Updated:
GPB Capital Won’t Be Providing Key Tax Documents to Over 6,500 Investors By April 15
:
Updated:
Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Non-Traditional ETFs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Cetera Advisors Broker Roger Owens
:
Updated:
SSEK Investigates UBS Broker Christopher Tolman For UBS YES Strategy Recommendations
:
Updated:
Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano
:
Updated:
SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen
:
Updated:
SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements
:
Updated:
SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz
:
Updated:
Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser
:
Updated:
Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees
:
Updated:
SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages
:
Updated:
Kristian Finfrock, Founder of Retirement Income Strategies, is the subject of Investor Complaints Over GPB Capital and Other Esoteric Investments
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Royal Alliance Broker Gary Basralian
:
Updated:
Shepherd Smith Edwards and Kantas Investigates NEXT Financial Group Over Non-Traded REIT Sales
:
Updated:
Shepherd Smith Edwards and Kantas investigates Martin David Batstone and Newbridge Securities Corp.
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving SBLOC Losses
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Triad Advisors Broker Michael Sievert For Selling GPB Private Placements
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Woodbury Financial Services Broker Robert Hayes Hoffman
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Loses Involving Steepener Structured Notes
:
Updated:
Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Centaurus Financial Broker Katherine Nishnic
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Sagepoint Financial Over GPB Private Placement Sales
:
Updated:
Shepherd Smith Edwards and Kantas Continues to Investigate Claims Involving Merrill Lynch Strategic Return Notes
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Kalos Capital Broker Darren Kubiak Over GPB Investments and Exchange-Traded Funds Sales
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving NYPPEX Broker Laurence Allen
:
Updated:
First Broker Fraud Case Involving GPB Capital Investments Gears Up for Spring FINRA Hearing
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Lincoln Investment Planning Broker Lester Burroughs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Securities America Broker Ronald Roach
:
Updated:
Former GPB Capital Holdings Partner Doubles Down on Ponzi Scam Claims
:
Updated:
Leveraged Loan Defaults Hit $23B
:
Updated:
UBS Ordered to Pay Investor Over $150K In Puerto Rico Bonds and Closed-End Bond Fund Case
:
Updated:
Another GPB Capital Holdings Auditor Resigns
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Commonwealth Financial Network Broker Gerald Eaton
:
Updated:
Ex-UBS Puerto Rico Broker David Lugo Ordered to Appear in Federal Court
:
Updated:
National Financial Services Gives GPB Investors Deadline to Move Investments To Another Platform
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving 1 Global Capital Investments
:
Updated:
Summit Investment to Pay Investor $100K for LJM Preservation and Growth Fund
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Sigma Financial Broker Frederick Randhahn For Selling $625K of Woodbridge Promissory Notes
:
Updated:
Shepherd Smith Edwards and Kantas Pursues GPB Capital Investor Fraud Claim Against Kalos Capital, Ameriprise Financial and Ex-Broker Gary Imel
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Capital Financial Investments and Ex- Broker Sean Kelly
:
Updated:
Kalos Financial Sends Letter to Investor Defending Its Sale of GPB Private Placements
:
Updated:
Hong Kong Fines UBS Group $51M For Overcharging Clients
:
Updated:
Shepherd Smith Edwards and Kantas Investigates GPB Investor Claims Against Ladenburg Thalmann’s Triad Advisors
:
Updated:
New Class Action Against GPB Capital Offers New Details Into Alleged $1.8B Ponzi Scam
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving First Standard Financial and Brokers Philip J. Sparacino and Gabriel Block
:
Updated:
9th Circuit Strikes Down JP Morgan Securities’ Wrongful Termination Win
:
Updated:
Morgan Stanley Pays $182K to Clients of Ex-Broker Justin Amaral
:
Updated:
SEC’s Broker-Dealer Fraud Case Against Cetera Advisors Reaches $21M
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Centaurus Financial Brokers Ricky Mantei and Cindy Chiellini
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Ex-Raymond James & Associates Advisor Stuart Nichols
:
Updated:
Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims by Clients of Innovation Partners
:
Updated:
Ex-Texas Broker With Morgan Stanley and Ameriprise Fined Over Allegedly Unauthorized Trades
:
Updated:
GPB Capital CCO Michael Cohn is Charged with Obstruction
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving ex-Morgan Stanley Brokers Ami Forte and Charles Lawrence
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Daniel Gordon Maughan and Financial West Group
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Complaints Involving Ex-Raymond James Broker John Wyshak
:
Updated:
Investor Funds Take on Big Losses Because of Argentina Stock Market Exposure
:
Updated:
Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson
:
Updated:
Shepherd Smith Edwards and Kantas Investigating Claims Involving Ex-Hilltop Securities Broker Richard Cagle
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Wells Fargo Broker Leonard Kinsman
:
Updated:
Stifel Nicolaus to Pay $1.5M For Failure to Supervise Broker Kenneth Blumberg
:
Updated:
What’s The Connection Between Kalos Capital And GPB Capital?
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Jeffery Vasiloff, Former LPL Financial Advisor
:
Updated:
Shepherd Smith Edwards and Kantas Files Investor Fraud Lawsuit Against Money Concepts Capital for GPB Capital Sales
:
Updated:
Three Ex-Morgan Stanley Brokers Accused of Broker Misconduct
:
Updated:
Raymond James To Pay $15M for Improper Advisory Fees and Commission Charges
:
Updated:
SSEK Law Firm Investigates Ex-Broker James T. Flynn and Voya Financial Advisors
:
Updated:
Alleged $125M Offering Fraud Touted “Highly Profitable” Trading Strategy
:
Updated:
Investors Blame Brokers Matthew Buchsbaum And Scott Rosenberg For UBS YES Strategy Losses
:
Updated:
Fraudulent Binary Options Led to Tens of Millions of Dollars in Investor Losses
:
Updated:
SSEK Investigates Stockbroker Eddie Lyons of Raymond James & Associates
:
Updated:
Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations
:
Updated:
GPB Fails to Meet Its Own Disclosure Deadline, Fires Prime Automotive Group CEO
:
Updated:
Shepherd Smith Edwards & Kantas investigates James T. Booth and LPL/INVEST
:
Updated:
Shepherd Smith Edwards & Kantas investigates Marcus Boggs, a former Merrill Lynch Financial Advisor
:
Updated:
JP Morgan Settles Broker Fraud Claim for $14M
:
Updated:
Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS
:
Updated:
Investor Files GPB Private Placement Claim Against Kalos Capital
:
Updated:
Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing
:
Updated:
Ex-Cetera Broker from Texas is Accused of Defrauding Investors
:
Updated:
American Realty Capital Properties to Pay Investors $1B
:
Updated:
Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud
:
Updated:
Cetera Advisors Accused of Defrauding Investors of $10M
:
Updated:
Cambridge Capital Accused of Defrauding Retired NFL Athletes
:
Updated:
Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud
:
Updated:
UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud
:
Updated:
Financial Sherpa Accused of Cherry Picking
:
Updated:
UBS Yes Strategy Investors File Fraud Claims
:
Updated:
Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors
:
Updated:
Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M
:
Updated:
Former Broker Pleads Guilty in Castleberry Financial Fraud
:
Updated:
Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses
:
Updated:
Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit
:
Updated:
Commonwealth Accused of Not Disclosing Revenue Deal to Clients
:
Updated:
Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses
:
Updated:
Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds
:
Updated:
Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct
:
Updated:
Mispriced Funds and Elder Investor Fraud Lead to SEC Cases
:
Updated:
Centaurus Structured Investment Loss Lawyers
:
Updated:
Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements
:
Updated:
SSEK Investigates Darren Oglesby and Money Concepts Capital
:
Updated:
GPB Capital Sued by Another Business Partner Alleging Financial Misconduct
:
Updated:
56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
:
Updated:
Fidelity’s National Financial Services Orders GPB Private Placements Removed
:
Updated:
Nomura Settles Two MBS Fraud Cases for $25M
:
Updated:
GPB Capital Funds Continue To Plunge In Value
:
Updated:
AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M
:
Updated:
Aequitas Ponzi Fraud Case Results in $234.6M Settlement
:
Updated:
CYES Strategy Investments Prove Too Risky for Investors
:
Updated:
Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges
:
Updated:
Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision
:
Updated:
Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
:
Updated:
Legend Securities to Pay Almost $967K to Investor
:
Updated:
Former NY Trader Accused of $19.3M Ponzi Fraud
:
Updated:
Purshe Kaplan to Pay $9.5M to Native American Tribe
:
Updated:
Massachusetts Fines LPL Financial $1.1M
:
Updated:
Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements
:
Updated:
Investors Awarded $3M In Claim Against Spire Securities
:
Updated:
Healthcare Investment Scam Targeted Dozens of Investors
:
Updated:
REIT Investors Suffer Major Losses
:
Updated:
Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes
:
Updated:
Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
:
Updated:
Recent SEC Cases Involves Market Rigging
:
Updated:
Ex-Windsor Street Capital Broker is Barred
:
Updated:
Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud
:
Updated:
Wells Fargo Sued for More than $1B in RMBS Fraud Case
:
Updated:
Another Ex-LPL Broker Barred Following Misrepresentation Allegations
:
Updated:
Recent Ponzi Fraud Allegedly Targeted College Grads
:
Updated:
FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations
:
Updated:
Stephen Brandon Anderson Accused of Multiple SEC Findings
:
Updated:
Ex-Morgan Stanley Broker Suspended Over Alleged Churning
:
Updated:
FINRA Bars Additional Bad Brokers from Big Firms
:
Updated:
Former Och-Ziff Capital Executive Admits To Lying
:
Updated:
Investors Defrauded in Alleged $1.4M Prime Bank Fraud
:
Updated:
SEC Announces $4.5M Whistleblower Award
:
Updated:
Newbridge Securities Corporation in Financial Trouble
:
Updated:
SSEK Investigates Harvest Volatility Management Strategies
:
Updated:
Former LPL Financial Broker is Barred from the Securities Industry
:
Updated:
Morgan Stanley Ordered to Pay $519K to Retired Couple
:
Updated:
Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
:
Updated:
Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades
:
Updated:
Former Janney Montgomery Scott Broker Faces Charges
:
Updated:
Stanford Ponzi Fraud Victims Awarded $1.4M
:
Updated:
Fund Manager LJM Partners Sues Over Volatility Losses
:
Updated:
Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme
:
Updated:
AXA Financial Ordered to Pay $3.2M to Farming Family
:
Updated:
Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement
:
Updated:
Morgan Stanley To Pay $150M Over Mortgage-Backed Securities
:
Updated:
Claim Filed Against Arkadios Over GPB Capital Private Placements
:
Updated:
Buckman, Buckman & Reid To Pay Customers $205K
:
Updated:
Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging
:
Updated:
Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans
:
Updated:
Hundreds of Retail Investors Harmed in Two Separate Fraud Cases
:
Updated:
Ex-Aegis Capital Broker is Barred Over Churning Allegations
:
Updated:
LPL Financial To Pay $450K Fine to Texas Investors
:
Updated:
SEC Charges Abraaj Investment Management With Defrauding Investors
:
Updated:
Investment Adviser is Accused of Defrauding More than $570K
:
Updated:
Former Woodbridge CEO Now Faces Criminal Charges
:
Updated:
“Pastors” Accused of $25M Ponzi Scam
:
Updated:
Direct Lending Investments Face SEC $11M Fraud Charges
:
Updated:
Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced
:
Updated:
Texas Man Pleads Guilty In $360M Ponzi Scam
:
Updated:
Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney
:
Updated:
Sweetwater Investments Plead Guilty To $3M Investor Fraud
:
Updated:
Unregistered Investment Adviser Accused in $29M Ponzi Scam
:
Updated:
Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy
:
Updated:
Ex-UBS Puerto Rico Broker is Sentenced to Prison
:
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
:
Updated:
NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended
:
Updated:
Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client
:
Updated:
79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
:
Updated:
Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors
:
Updated:
Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
:
Updated:
Former Alexander Capital Broker Accused of Churning Must Pay Over $302K
:
Updated:
SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud
:
Updated:
BB&T Securities To Give Back Over $5M To Retail Investors
:
Updated:
Securities-Backed Lines of Credit Are Not For Every Investor
:
Updated:
Broker-Dealers Who Sold GPB Investments
:
Updated:
FBI Is Investigating GPB Capital Holdings
:
Updated:
Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment
:
Updated:
Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud
:
Updated:
Investors Claims Against Santander for Puerto Rico Bond Fraud Losses are Increasing
:
Updated:
Castleberry Financial Services is Accused of $3.6M Investor Fraud
:
Updated:
Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds
:
Updated:
Investor Fraud Claims Include Kiddar Capital and Stanford Ponzi Scam
:
Updated:
Former Commonwealth Financial Network Broker Is Accused of Stealing $100K From Retiree
:
Updated:
Philadelphia Sues Citigroup, Goldman Sachs, Bank of America and Other Big Banks, Alleges Municipal Bond Rigging
:
Updated:
United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker
:
Updated:
Financial Firms: UBS Settles with Virginia’s Regulator over Broker’s Unsuitable Recommendations, FINRA Fines Texas Broker-Dealer $225K for Mutual Fund Sales Violations, and an Ex-Client Seeks $500K from Carson Wealth while Alleging Excessive Fees
:
Updated:
U.S. First Circuit Court of Appeals Invalidates PROMESA Board
:
Updated:
Recover Losses From Investing With Former Ameritas Investment Corp. Broker Kristian Gaudet
:
Updated:
Investor Fraud: Former MML Investors Broker Who Sold $3.5M of Woodbridge Notes is Barred, Ex-Merrill Lynch Rep Gets 40-Month Prison Term for Defrauding Clients, and Barred UBS Broker is Sentenced in $3.7M Fraud
:
Updated:
$18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval
:
Updated:
Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution
:
Updated:
Statim Holdings Is Accused of Defrauding Private Fund Arjun and Its Investors
:
Updated:
Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders
:
Updated:
Investment Fraud: Capital Securities Must Pay Retired Teachers $3.8M and Investors Ask Court for Nearly $2.7M Judgment over High Risk Investment Losses
:
Updated:
U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets
:
Updated:
Retirement Losses: First Allied Securities and Financial Adviser to Pay Retirees Over $1.6M for Investment Advice, MetLife to Pay Another $189M to Individuals Owed Pensions, and Duke University Will Pay Over $10M to Settles Lawsuits Alleging ERISA Violations
:
Updated:
Investor Fraud: Quest Capital Strategies Must Pay Investor $276K in Woodbridge Ponzi Fraud, FINRA Warns Firms About Recommending Unsuitable 529 Plan Share Classes, and Ex-Ameritas Broker is Barred from the Securities Industry
:
Updated:
Woodbridge and Its Ex-Owner Must Pay $1B Over Alleged Ponzi Scam
:
Updated:
Criminal Securities Fraud: Another Ex-Wilmington Trust Executive Gets His Prison Term, Former Rock Capital Trader in $13.7M Fake Profits Scam to Serve 5-Year Sentence, and Ex-NJ Financial Adviser Who Defrauded Customers Waits for Jury Verdict
:
Updated:
Texas Real Estate Developer Faces SEC Charges Over Alleged Multimillion-Dollar Ponzi Scam
:
Updated:
Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes
:
Updated:
Securities Cases: Massachusetts Charges Royal Alliance Over Unsuitable Investment Advice, Ex-Schwab Rep. is Fined For Alleged False Statements, and Texas Broker Accused of Bank Fraud Gets His CFP Designation Suspended
:
Updated:
CFD Investments Ordered to Pay $125K Fine Over the Inadequate Supervision of Variable Annuity Sales
:
Updated:
Royal Alliance and Former Broker Are Ordered to Pay $4.2M To Widow Who Was Victim of Investor Fraud
:
Updated:
Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds
:
Updated:
Enbridge Acquires The Rest of Its Houston-Based Mastered Limited Partnership Operations
:
Updated:
Finra Bars Another Ex-Morgan Stanley Representative, Fines Firm $10M for AML Detection Deficiencies, and Orders It To Pay Two Investors $4.2M For Broker Fraud
:
Updated:
Houston, TX-Based Brokerage Firm Next Financial is Acquired by Atria
:
Updated:
Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour
:
Updated:
Ex- Wells Fargo Broker Faces 128 Felony Counts in Alleged $1M Ponzi Scam
:
Updated:
Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt
:
Updated:
FINRA Sues Ex-Morgan Stanley Broker Ami Forte for Elder Financial Fraud
:
Updated:
SEC Files Charges Against 10 Companies and 13 Unregistered Brokers That Sold Woodbridge Securities in $1.2B Ponzi Scam
:
Updated:
FINRA and SEC Reportedly Probe GPB Capital Holdings and The Brokerage Firms That Sold Its Private Placements
:
Updated:
When Margin Calls Lead to Investor Fraud Losses
:
Updated:
Puerto Rico Consultant McKinsey & Company’s Ownership of $20 Million of Puerto Rico Bonds Raises Conflict of Interest Concerns
:
Updated:
Criminal Securities Fraud: Jury Convicts Former NJ Investment Manager Over $10M Ponzi Scam and Wilmington Trust Executives Get Prison Term of Six Years
:
Updated: 
Investor Lawyers Blog