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SSEK Securities Lawyers Continue to Fight For Investors
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Updated:
Horizon Private Equity Ponzi Fraud Lawyers Helping Investors
:
Updated:
Brokerage Firm Arbitration Lawyers Investigating Herbert J. Sims
:
Updated:
Are You An Investor Who Owns High-Risk Investments?
:
Updated:
Investment Loss Lawyer Team Representing Investors
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Updated:
Parking REIT Investors May Be Able to File FINRA Lawsuits
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Updated:
蒙受损失的ARKK投资者可联系投资者损失律师
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Private Placement Investor Loss Lawyer
:
Updated:
Investor Losses Involving Complete Business Solutions Group (Par Funding)
:
Updated:
SSEK Alternative Investment Loss Lawyer
:
Updated:
FINRA Lawyers Representing Clients of Ex-JP Morgan Securities Broker Ed Turley
:
Updated:
Our Broker-dealer Arbitration Law Firm is Investigating Western International Securities
:
Updated:
Due Diligence Failures May Be Grounds for a FINRA Lawsuit
:
Updated:
REIT Investment Fraud Lawyers Assist Older Investors Against Fraud
:
Updated:
Seasoned Investment Loss Lawyers Representing Latin American Investors
:
Updated:
What Is Stockbroker Misconduct?
:
Updated:
How Can Our Broker Misconduct Attorneys Help with Investment Fraud?
:
Updated:
FINRA Lawsuit Attorneys assist TCA Fund Investors
:
Updated:
Why Working With A Skilled FINRA Law Firm Can Increase Your Ability to Recover Losses
:
Updated:
When Failure To Supervise Requires a Broker Fraud Attorney
:
Updated:
Broker Dealer Negligence Attorney Assists Northstar Financial Service Clients
:
Updated:
What Is Churning and How Does It Lead to Investor Losses?
:
Updated:
ETF Investor Loss Lawyer: Know When You Need Contact One
:
Updated:
FINRA Lawsuit Filing Options for Latin American Investors
:
Updated:
Do You Need a FINRA Lawyer to Recover Investment Losses
:
Updated:
How to Recognize Elder Financial Abuse
:
Updated:
Broker Negligence: Avoid Investment Losses with these Tips
:
Updated:
FINRA Lawyers Helping Pursue O&G Losses Involving David Lerner
:
Updated:
Know When You Need to Hire an Investment Loss Lawyer
:
Updated:
REIT Fraud Lawyers Can Help Recover SmartStop Self Storage Losses
:
Updated:
Broker-dealer Negligence Lawyers Assist Investors Neglected by Aegis
:
Updated:
Should You File a FINRA Arbitration Claim Over Private Placement Sale Losses?
:
Updated:
Why You Should Hire Experienced Investor Lawyers to Represent You
:
Updated:
How Can A Seasoned Bond Fraud Losses Law Firm Help You?
:
Updated:
What Are the Common Signs of Investment Fraud
:
Updated:
Raymond James Pays $500K After Broker is Accused of Elder Financial Abuse
:
Updated:
SSEK Represents Northstar Financial Services (Bermuda) Investor Arbitration Claims
:
Updated:
Why GWG L Bond Investors Should Contact An Experienced FINRA Arbitration Lawyer
:
Updated:
Atlas Growth Partners Investors May Be Able To Recoup Losses
:
Updated:
Did Your Joseph Stone Capital Broker Excessively Trade in Your Account?
:
Updated:
What is Breach of Fiduciary Duty by a Stockbroker?
:
Updated:
Oppenheimer Ordered To Pay $36.7M to Eight Investors of Alleged Horizon Private Equity III Ponzi Scam
:
Updated:
Did Your Broker Recommend You Invest In The Deeproot Funds?
:
Updated:
What Should Investors Know About The FINRA Arbitration Process?
:
Updated:
Did You Suffer Serious Investment Losses While Working With Former Morgan Stanley Broker Doug McKelvey?
:
Updated:
Our GWG L Bond Loss Lawyers at SSEK Law Firm Continue to Pursue Brokerage Firms for Investment Fraud
:
Updated:
SSEK Law Firm Wins More than $468,000 UBS YES Award for North Carolina Couple
:
Updated:
Did LightPath Capital and Its Broker Paul Getty, Also of First Guardian Group in San Jose, CA, Sell You Private Placement Shares in Skyloft Austin
:
Updated:
Are You A Retiree or Senior Investor Who Has Lost Your Life Savings Due To Stockbroker or Advisor Negligence?
:
Updated:
Massachusetts Fines MML Investors Services $250K For Failing to Supervise Ex-Broker Charles Evan
:
Updated:
Investor Redemptions in Legion Strategies from Skybridge Capital Are Suspended
:
Updated:
Texas Bankruptcy Judge Approves New Chapter 11 Financing Option for GWG Holdings
:
Updated:
SSEK Law Firm Is Representing More Investors with GWG L Bond Claims Against Centaurus Financial
:
Updated:
UBS YES Customers of Houston Broker William Huthnance Are Pursuing $1.8M in Damages
:
Updated:
Former Clarity Capital Partners’ Kyle Chapman in Newport Beach Sold GWG L Bonds to Retail Customers
:
Updated:
Nelson Partners’ Liquidation Plan That Would Pay $50M to Skyloft Austin Investors Gets Final Court Approval
:
Updated:
Moloney Securities Brokers Shane DeSherlia and Dale Timmerman Allegedly Unsuitably Recommended GWG L Bonds to Illinois Retirees
:
Updated:
SEC Fines Aegis Capital $2.3M Over Allegedly Unsuitable Variable Interest Rate Structured Product Sales
:
Updated:
Customers of Ex-First Allied Securities Broker Chad Barancyk Are Requesting More Than $2.1M in Damages
:
Updated:
Ex-Joseph Stone Capital Broker Joseph Ambrosole Faces Excessive and Unsuitable Trading Allegations
:
Updated:
Spartan Capital Securities Broker James Pecoraro Suspended Following Excessive Trading Allegations
:
Updated:
Investors Who Worked with NI Advisors Broker Shirley Ank Wong, also of AK Advisors in Daly City, CA, Suffer GWG L Bond Losses
:
Updated:
Marc Cline, formerly of CFG Capital, Allegedly Recommended GWG L bonds to Florida Retirees
:
Updated:
Texas Investors Awarded $2.57M in Second FINRA Arbitration Win Against LPL
:
Updated:
Following SEC Charges Related To GWG L Bonds, CFP Board Suspends Western International Securities Broker Patrick Egan
:
Updated:
Ex-Summit Brokerage Services Financial Advisor Francis Velten Barred Following Churning Allegations in Elderly Customers’ Accounts
:
Updated:
Centaurus Recommended GWG Holdings L Bonds To Houston Investor Who Was Saving For Retirement
:
Updated:
Lawdragon Acknowledges SSEK Law Firm Partners and Securities Fraud Lawyers Kirk Smith and Sam Edwards In Their 2022 Leading Plaintiff Financial Lawyers List
:
Updated:
Ingram Financial Group’s Donna Seymour in Winter Haven Accused of Unsuitably Selling GWG L Bonds To Florida Retirees
:
Updated:
SEC Accuses Barred LPL Financial Broker Eric Hollifield of Misappropriating $1.7M From Retail Customers
:
Updated:
UBS Financial Ordered to Pay Punitive Damages in $1.3M Arbitration Ruling Over YES Strategy
:
Updated:
Investors of Nelson Partners’ Skyloft Austin May Be Owed At Least $74M
:
Updated:
UBS To Pay $25M To Settle SEC Charges Involving Its Yield Enhancement Strategy
:
Updated:
SSEK Law Firm Investigates Investor Losses Involving JPMorgan Chase Auto Callable Contingent Interest Notes Linked To The S&P GSCI® Crude Oil Index Excess Return
:
Updated:
Former Customers of Newbridge Securities Broker Betsy Whipple Pursue 7-Figure GWG L Bond Claim.
:
Updated:
SSEK Law Firm Is Investigating Cabot Lodge Securities Over GWG L Bond Sales
:
Updated:
Emerson Equity Wholesalers That Pitched GWG L Bonds Leave The Firm
:
Updated:
UBS Must Pay Over $2.5M to Yield Enhancement Strategy Investors
:
Updated:
Shomir Mukherjee, Western International Securities Broker in Los Angeles Allegedly Concentrated GWG L Bonds & Non-Traded REITs
:
Updated:
FINRA Fines National Securities $9M Over GPB Private Placement Sales
:
Updated:
SSEK Law Firm Investigates National Realty Investment Advisors Over Alleged $630M Investor Fraud
:
Updated:
Trinidad & Tobago Investor Files Northstar Financial Services (Bermuda) Claim Against Truist Investment Services
:
Updated:
NAV Advisors’ Marc Korsch in Sarasota, Florida Allegedly Sold GWG L Bonds to Customers
:
Updated:
SEC Accuses Western International Securities & Five Brokers Of Reg BI Violations Involving $13.3M in L Bond Sales
:
Updated:
Goldman Sachs Under Investigation by SEC Over ESG Funds
:
Updated:
Mexican Investors Allege That Infinex Investments Overconcentrated Their Assets In Northstar Financial Services (Bermuda)
:
Updated:
Centaurus Financial Broker Bill Burks Named in Several Customer Disputes
:
Updated:
SEC Recommends Receivership For GPB Capital Holdings
:
Updated:
Japanese Customers Of Bankoh Investment Services File 7-Figure Claim Over Northstar Financial Services (Bermuda) Losses
:
Updated:
Fired Berthel Fisher Broker Steve Cummings’ Customers Report Investment Losses
:
Updated:
Arizona Investor Alleges That Modern Wealth Management in Tucson Unsuitably Recommended GWG L Bonds
:
Updated:
Ameriprise Subsidiary RiverSource Fined $5M For Allegedly Improperly Switching Customers’ Variable Exchanges To Earn Commissions
:
Updated:
Cetera Investment Services Named in Chinese Couple’s 7-Figure Beechwood Bermuda Claim
:
Updated:
GWG Managing Broker-Dealer Emerson Equity Reports Possible Financial Woes
:
Updated:
Customer of Morgan Stanley Broker Thomas Bonds Files $5M Unsuitability Case
:
Updated:
Despite Red Flags, Centaurus Financial Allegedly Raised Cap for Selling L Bonds To Customers
:
Updated:
UBS Financial Services Ordered To Pay Yield Enhancement Strategy Customers Almost $4 Million
:
Updated:
Kansas City Retiree Files GWG L Bond Claim Against Titan Securities and Rodger Sprouse of Sprouse Financial in Lee’s Summit, MO
:
Updated:
Former UBS Broker Robert Turner in Waco, Texas May Have Stolen Over $17M From Customers
:
Updated:
Elderly Japanese Investors Pursue Northstar (Bermuda) Claim Against Bankoh and Yoko Farias of Pacific Century Investment Services in Honolulu
:
Updated:
Ex-NPB Financial Group Broker Neal Nakagiri is Facing More Than $700K in Customer Disputes
:
Updated:
Centaurus Financial Allegedly Unsuitably Recommended GWG Holdings L Bonds, Claims Another Texas Retiree
:
Updated:
SSEK Law Firm Investigates Financial Gravity Family Office Services Adviser Mark Williams in Carmel, CA Over Possible GWG L Bond Sales
:
Updated:
Claimant Says Cetera Investment Services Unsuitably Recommended NorthStar Healthcare Income, Healthcare Trust, and Griffin Realty Trust
:
Updated:
Texas Retirees Pursues 6-Figure GWG L Bond Claim Against Centaurus Financial
:
Updated:
Emerson Equity Broker Tony Barouti Facing $1.37M in GWG L Bond Claims
:
Updated:
FINRA Fines Berthel Fisher $100K Over Options Trades
:
Updated:
Former Customers of Calton & Associates Broker Paul Murphy Request Over $589K in Damages
:
Updated:
Barred Ex-Wells Fargo Broker Jeremy Fortner is Named in Nine Customer Disputes
:
Updated:
At Least 27,000 L Bond Investors Left At a Loss Following GWG Holdings’ Bankruptcy Filing
:
Updated:
Following GWG Holdings’ Chapter 11 Bankruptcy, SSEK Law Firm Steps Up Investigation of Brokerage Firms That Sold L Bonds
:
Updated:
SEC Sues Ex-Morgan Stanley Broker Shawn Good Over Alleged $4.8M Ponzi Scam
:
Updated:
GWG Holdings Files For Chapter 11 Bankruptcy Protection
:
Updated:
Ex-Transamerica Financial Advisors Broker Scott Allen Fries Ordered To Pay Over $747K For Allegedly Defrauding Investors
:
Updated:
SSEK Law Firm is Investigating Poor Performing High-Yield Bond Funds for Investors
:
Updated:
SSEK Law Firm Investigates Claims of Investor Losses Involving Grab Holdings, Ltd.
:
Updated:
SSEK Law Firm Investigates St. George’s Ltd. Losses For Investors
:
Updated:
UBS Financial Services To Pay YES Investors Almost $1.2M
:
Updated:
NI Advisors Sold GWG L Bond To Inexperienced Investor Who Suffered Losses
:
Updated:
GWG Holdings Expected To File For Chapter 11 Bankruptcy
:
Updated:
Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
:
Updated:
Dempsey Lord Smith, BD4IA, and Geneos Wealth Management Fined For Selling GPB Private Placements To Customers
by Samuel B. Edwards
:
Updated:
McNally Financial Services’ Recommendation of Lightstone Real Estate Income Trust Leads To Couple’s Losses
by Samuel B. Edwards
:
Updated:
Ocean Financial Services’ Recommendation of Northstar Financial Services (Bermuda) Leads to Six-Figure Loss for Houston Investor
:
Updated:
Another Mexican Investor Pursues JP Morgan Securities Over Omnia/Old Mutual (Bermuda) Losses
:
Updated:
Beechwood Bermuda Investor Seeks Up to $500K From Cetera and Broker Leo Li-Yuan Chien
:
Updated:
Ex-Kestra Broker Chadwick Collins’ Customers Seek Over $3.3M in Damages
:
Updated:
Ex-IFS Securities Broker Steven Schisler Barred Following Unsuitable Investment Recommendations
:
Updated:
Arizona Retirees Win $2.6M FINRA Arbitration Award Against First Allied Securities
:
Updated:
Former Wells Fargo Broker Mario Rivero Charged With $500K Investment Fraud
:
Updated:
Infinity Q Founder James Velissaris Accused of Over $1B Valuation Fraud
:
Updated:
Ex-Garden State Securities Broker Joseph DeGregorio Allegedly Defrauded Elderly Investors
by Samuel B. Edwards
:
Updated:
SSEK Law Firm Continues to Investigate Northstar Financial Services (Bermuda) Losses Involving East West Bank
:
Updated:
Advisor Group Broker-Dealers Facing $19.4M in GPB Capital Holdings Investor Claims
by Samuel B. Edwards
:
Updated:
FINRA Suspends Ex-Stifel Nicolaus Broker Andrew Elsoffer for Two Years
:
Updated:
Class Action Securities Lawsuit Filed Against GWG Holdings Over L Bond Losses
:
Updated:
Trusts of Late Investor Awarded $1.875M in UBS YES Case
:
Updated:
Appointment of Class Representatives in Northstar (Bermuda) and Omnia Liquidations Doesn’t Help Investors
:
Updated:
Ex-Worden Capital Broker William Athas Accused of Excessive Trading That Cost Customers $1.1M
:
Updated:
Massachusetts Charges Purshe Kaplan Sterling Investments Over Investors’ $2.3M in ETF Losses
:
Updated:
Investor Files Claim Against FSC Securities Over FS Energy and Power Fund & Northstar Healthcare REIT Losses
:
Updated:
MSC-BD Ordered to Pay Widow $221K Over GPB Private Placement Losses
:
Updated:
Emerson Equity Broker Tony Barouti May Have Sold GWG L Bonds to Customers
:
Updated:
GWG Holdings Defaults On $13.6M Owed To L Bond Investors
:
Updated:
Another Bankoh Broker Yoko Farias Customer Files Six-Figure Northstar Financial Services (Bermuda) Claim
:
Updated:
Number of Customer Disputes Involving Ex-Ameriprise Broker James Dunn Skyrockets
:
Updated:
Ex-Morgan Stanley Broker Darryl Cohen, Accused of Defrauding Pro Athletes, To Be Barred by FINRA
:
Updated:
Ex-Landolt Securities Broker Anthony Cottone Allegedly Misappropriated $2.8M of Client Funds
:
Updated:
SSEK Law Firm Investigates Investors’ Losses From GWG L Bonds Sold By Aegis Capital, Emerson Equity, and Many Others
:
Updated:
HIT REIT Investor Pursues Six-Figure FINRA Arbitration Claim Against NPB Financial
:
Updated:
GWG Holdings Misses $13.6M in Payments to L Bond Investors
:
Updated:
Fidelity Accused of “Lackadaisical” Vetting of Investors Wanting To Trade in Complex, Risky Investments
:
Updated:
Former UBS Broker German Nino Allegedly Stole $5.8M From Client
:
Updated:
Newbridge Securities Sold Hospitality Investors Trust To Customers
:
Updated:
Barred Wells Fargo Broker Scott Reed Accused of Selling Investments Without Firm’s Permission
:
Updated:
Suspended Delta Securities Broker Sean Casterline Allegedly Sold Away to Customers
:
Updated:
Senior Investors Say Seeman Holtz Reneged On Paying Them Millions
:
Updated:
UBS YES Clients of Broker William Cerf Want $16.5M in Damages
:
Updated:
Customers of Morgan Stanley Broker Michael Wagner Seek Over $20M in Damages
:
Updated:
Triad Advisors To Pay $195K Fine and More Than $510K in Restitution For LJM Fund Sales
:
Updated:
FINRA Fines Merrill Lynch $1.2M and $950K
:
Updated:
DOJ Sends Letter to GPB Ponzi Scheme Victims
:
Updated:
Customers of UBS Broker Roderick Von Lipsey Report UBS YES Losses
:
Updated:
McNally Financial Services Broker Mark Kemp Has Been Named in 11 Customer Disputes
:
Updated:
Former GPB Capital Holdings CEO David Gentile Sues The Alternative Asset Firm
:
Updated:
Ex-Worden Capital Markets Broker Mark Kolta Has Been Named in 26 Customer Disputes
:
Updated:
RBC Capital Markets to Pay $1M Over Unsuitable High-Yield Bond Concentration in Customer Accounts
:
Updated:
J.P. Morgan Fined $200M by SEC & CFTC Over Messaging and Communications Violations
:
Updated:
Ex-Parkland Securities Broker Keith Ashley, Who Is Accused of Murder, Faces FINRA Charges
:
Updated:
Two Wells Fargo Broker-Dealers to Pay $3.1M in FINRA’s UIT Investigation
:
Updated:
Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading
:
Updated:
SSEK Law Firm Investigates Losses Involving NorthStar Real Estate Investment Trust (Now N1 Liquidating Trust)
:
Updated:
SSEK Law Firm Client of Fired J.P. Morgan Securities Broker Ed Turley Wins $4 Million FINRA Arbitration Award
:
Updated:
Former Morgan Stanley Broker Jesus Rodriguez Is Barred by FINRA
:
Updated:
Retiree Files 7-Figure Northstar Financial Services (Bermuda) Claim Against Cetera
:
Updated:
Customers Accuse Ex-Cetera Broker Robert Wolfe of Unsuitability and Omissions
:
Updated:
MML Investors Services Broker Daniel Lauletta Named in $1M Customer Dispute
:
Updated:
Fired Edward Jones Broker Ronald Molo Accused of Defrauding Senior Customers
:
Updated:
Ex-Raymond James Broker Guilford Nergard Is Accused of Making Unauthorized Trades
:
Updated:
Investor Pursues $500K GPB Capital Claim Against TD Ameritrade
:
Updated:
GPB Capital Holdings Concludes Sale of Prime Automotive Group
:
Updated:
SSEK Law Firm Continues to Investigate Brokers Who Sold Hospitality Investors Trust
:
Updated:
Customers of Ex-Arkadios Capital Broker Marc Korsch Claim $2.8M in Damages
:
Updated:
Aegis Capital To Pay $2.75M For Churning in FINRA Case
:
Updated:
SSEK Law Firm Continues to Investigate Hancock Whitney Broker Robin Platt Over Investors’ Northstar Financial Services (Bermuda) Losses
:
Updated:
FINRA Bars Fired Cambridge Investment Research Broker David Melilli Over Alleged Unauthorized Trading
:
Updated:
Moody National REIT II Announces Postponement of Valuation of Shares
:
Updated:
Cetera Advisors Broker Jeffrey Meyers Accused of Making Unsuitable REIT Investment Recommendations
:
Updated:
FINRA Bars Ex-Wells Fargo Broker James Seijas Who Is Accused In More Than $33M Ponzi Scam
:
Updated:
Ex-Worden Capital Management John Cangialosi Ordered to Pay $271,622 in Customer Restitution
:
Updated:
SEC Accuses Fired Wells Fargo Broker Kenneth Welsh of Stealing Nearly $3M From Customers
:
Updated:
Utah Retirees File Six-Figure GBP Investor Claim Against Woodbury Financial Services
:
Updated:
Ex-Western International Securities Broker Megurditch Patatian Allegedly Unsuitably Recommended Non-Traded REITs to Investors
:
Updated:
Former Worden Capital Broker Allan Montalbano Faces $543K Unsuitability Case For Broker Negligence
:
Updated:
Former LPL Financial Broker James Couture Rejects Plea Deal Over Misappropriation Allegations
:
Updated:
Florida Retirees File $2.5M FINRA Arbitration Case Against Henley & Co. Over Alleged Ponzi Scam Losses
:
Updated:
FINRA Probes Broker-Dealers’ Activities Related to SPACs
:
Updated:
Customers of Western International Securities Broker Peter Steege Allege Unsuitability
:
Updated:
GPB Capital Founder David Gentile Claims Firm Owes Him Millions of Dollars
:
Updated:
SEC Files Fraud Charges Against Barred Broker Michael Shillin Who Is Named In 37 Disputes
:
Updated:
Investors Accuse Ex-Forta Financial Group Broker Gregory Williams of Broker Misconduct
:
Updated:
UBS to Pay More Than $1.1M in Two Yield Enhancement Strategy Cases
:
Updated:
Customer of Ex-Raymond James Broker Alberto Valdes Claims Northstar Global Advantage Select Losses
:
Updated:
Mexico Investors File $500K Northstar Financial Services (Bermuda) Claim Against Wells Fargo Clearing Services
:
Updated:
SSEK Law Firm Files FINRA Arbitration Claims Against J.P. Morgan For Customers of Fired Broker Ed Turley
:
Updated:
Central American Retiree Suffers Six-Figure Loss After Truist Investment Services Unsuitably Recommends Northstar Financial Services (Bermuda)
:
Updated:
Elderly Chinese Retiree Files Six-Figure PB Investment Holdings Case Against Cetera Investment Services
:
Updated:
Ex-Oppenheimer Broker John Woods Accused of Running $110M Horizon Private Equity III Ponzi Scam
:
Updated:
Ex-Voya Financial Advisors Broker Ronnie Metcalf Faces Over $6.5M in Current Customer Disputes
:
Updated:
Former CFD Investments Broker Dana Vietor Facing Over $3M in Customer Complaints
:
Updated:
American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes
:
Updated:
GPB Capital Sells Prime Automotive Group Dealerships for $880M
:
Updated:
Customers Accuse Fired Ameriprise Broker Ted Cadwallader of Making Unsuitable Investment Recommendations
:
Updated:
Representatives To Be Appointed For Each Investor Class in Northstar Financial Services (Bermuda) Liquidation Proceedings
:
Updated:
Sin Respuestas De La Corte En Cuanto al Reembolso de Activos – Representantes de Cada Clase de Inversionistas Serán Nombrados En Los Procedimientos de Liquidación de Northstar Financial Services (Islas Bermudas)
:
Updated:
Northstar Financial Services (Bermuda) Owner Greg Lindberg Sued by Puerto Rican Insurer for $524M
:
Updated:
SEC Investigates Ex-MVP American Securities Broker Mike Shustek Over REIT Investors’ Losses
:
Updated:
Tokyo Investors File $500K Northstar Financial Services (Bermuda) Arbitration Claim Against UnionBanc Investment Services
:
Updated:
Customers of Former Worden Capital Management Broker Christ Baltas Request Over $614K in Damages
:
Updated:
SSEK Law Firm Continues to Investigate Former J.P. Morgan Broker Ed Turley
:
Updated:
SEC Accuses SPAC Stable Road Acquisition Company and Others of Misleading Investors
:
Updated:
SSEK Law Firm Wins $400K UBS YES FINRA Arbitration Award For Investors
:
Updated:
Former LPL Financial Broker Kevin McCallum Facing Over $4.8M in FINRA Arbitration Claims
:
Updated:
Chinese Retiree Pursues Up To $500K From Cetera Over PB Investment Holdings Losses
:
Updated:
Ex-SagePoint Financial Broker Grant Birkley Faces $2.3M of Investor Fraud Claims
:
Updated:
Customers of Ex-Aegis Capital Broker Scott Hananel Claim Investment Losses
:
Updated:
Customers of Vanderbilt Financial Broker Jeffrey Gitterman Seek Damages for Unsuitable Investments
:
Updated:
$500K Northstar Financial Services (Bermuda) Claim Brought Against Truist Investment Services by Venezuelan Investors
:
Updated:
Brokerage Firms With History of Misconduct Will Have To Put Money Aside for Investor Claims
:
Updated:
Did GPB Capital Holdings Executives Improperly Use Investors’ Money To Fund Personal Spending?
:
Updated:
Inappropriate COVID-19 Loan Applications Led To FINRA Sanctions for Brokers From Wells Fargo, J.P. Morgan Securities, and Merrill Lynch
:
Updated:
Senior Customer of Ex-NYLIFE Securities Broker Felix Chu Seeks Over $5M in Ponzi Scam Losses
:
Updated:
Benefit Street Partners Realty Trust to Merge With Capstead Mortgage Corp.
:
Updated:
Another Ex-Worden Capital Management Broker, Joseph Todaro, is Accused of Excessive Trading
:
Updated:
American Trust Investment Services Broker David Geake Is Facing Over $500K in Unsuitability Claims
:
Updated:
Florida Retiree Files $500K REIT Arbitration Case Against Securities America
:
Updated:
South American Retirees File $5M Northstar Financial Services (Bermuda) Investor Claim Against Raymond James & Associates
:
Updated:
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
:
Updated:
UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M
:
Updated:
NEXT Financial Group Reaches $750K Settlement Over Allegedly Unsuitable Short-Term Trading of Puerto Rico Bonds and Class A Mutual Funds
:
Updated:
Ex-Morgan Stanley Broker Francisco Valenzuela is Named in $500K Investor Claim Alleging Unsuitability
:
Updated:
Former LPL Broker Paul McGonigle is Accused of Defrauding Investors
:
Updated:
As July 26th Hearing Date Approaches, SSEK Law Firm Continues To Investigate Northstar Financial Services (Bermuda)
:
Updated:
SSEK Investigates Claims That Charles Schwab Recommended Advisory Firms Market Vida Longevity Fund To Customers
:
Updated:
Securities America Advisors Fined $1.75M For Allegedly Failing to Protect Customers From Ex-Broker Hector May Who Stole $8M
:
Updated:
J.P. Morgan Securities’ Recommendation of Old Mutual Bermuda Causes Mexican Investor To Suffer Six-Figure Loss
:
Updated:
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
:
Updated:
Japanese Investor Says Bancwest Investment Services Recommendation Northstar Financial Services (Bermuda) Caused Six-Figure Loss
:
Updated:
FINRA Bars Worden Capital Management Broker Salvatore Pizzimenti Following Churning Allegations
:
Updated:
David Lerner Associates Broker Martin Walcoe May Have Sold Energy 11, Energy Resources 12, and SOAEX to Customers
:
Updated:
Merrill Lynch To Pay $11.6M To Settle FINRA Case Over Unsuitable Unit Investment Trust Rollovers
:
Updated:
Hospitality Investors Trust Files For Chapter 11 Bankruptcy Protection
:
Updated:
Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration
:
Updated:
Lion Street Financial Broker Richard Baer Named in Disputes Seeking $1.85M in Damages
:
Updated:
Barred Mutual of Omaha Broker Edward Matthes Gets Over 5 Years in Prison For Investor Fraud
:
Updated:
SSEK Law Firm Continues to Investigate Broker-Dealers That Sold Northstar Financial Services (Bermuda) Products
:
Updated:
Customers of Ameriprise Financial Services Broker Kevin Houser Seek $1.6M in Alternative Investment Losses
:
Updated:
Truist Investment Services Broker Stephen Berrocal Recommended Northstar Financial Services (Bermuda)
:
Updated:
Former Cetera Advisors Network Broker David Rockwell Sentenced To Prison For Fraud
:
Updated:
Japanese Customers of Bankoh Investment Services Broker Yoko Farias Suffer Six-Figure Northstar Financial Services (Bermuda) Losses
:
Updated:
Ex-Madison Avenue Securities Broker Jeffrey Dixson Named in Numerous GPB Investor Fraud Claims
:
Updated:
Ex-Cetera Advisors Broker Mark Barrand Accused of Making Unsuitable Investment Recommendations
:
Updated:
Florida Retiree Pursues Six-Figure Energy 11 Investor Fraud Claim Against David Lerner Associates
:
Updated:
FINRA Suspends Ex-MML Investors Services Broker Adam Belardino
:
Updated:
Northstar Financial Services (Bermuda) Investors Seek Up to $500K in Damages from SunTrust Bank Division, Truist Investment Services
:
Updated:
Old City Securities Broker Gregory Hersch is Named in $1.4M FF Fund I Investor Fraud Claim
:
Updated:
Ex-Wells Fargo Broker Ramon Herrera is Sentenced For Defrauding 40 Investors
:
Updated:
Ongoing Concerns About GPB Auto Group’s Ability to Survive
:
Updated:
Latin American Investor Files Six-Figure Northstar (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Ex-Customer Of Unionbanc Investment Services Broker Asako Thompson Files $500K Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Ex-Cetera Investment Services Broker May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Customers
:
Updated:
Ex-LPL Financial Broker Matthew Clason Pleads Guilty To Defrauding Elderly Investor of $600K
:
Updated:
Ex-SagePoint Financial Broker Dan Dillard Sold GPB Private Placements to Customers
:
Updated:
O.N. Equity Sales Fined $1.3M Over Broker’s Unsuitable Investing Strategy
:
Updated:
Customer of UBS Broker Andrew Burish Seeks $23M Over Tesla Stock Losses
:
Updated:
Brokers May Have Unsuitably Recommended Lodging Fund REIT III
:
Updated:
Bank Losses From Archegos Collapse Exceed $10B After UBS and Morgan Stanley Report $861M and $911M Losses, Respectively
:
Updated:
Retiree Who Worked With Ex-Kestra Investment Services Broker James Daughtry Seeks Up To $500K in Damages
:
Updated:
Customer Says David Lerner Associates Broker Lawrence Merl Unsuitably Recommended Energy 11, LP
:
Updated:
Northstar Financial Services (Bermuda) Investor Seeks Up to $5M in Damages from Hancock Whitney Investment Services
:
Updated:
Retirees Seek Up to $500K in Northstar Financial Services (Bermuda) Claim Against J.P. Morgan Securities
:
Updated:
Purshe Kaplan Pays $1.6M Settlement To 50 Investors
:
Updated:
UBS Ordered To Pay $371K Award to YES Strategy Customers
:
Updated:
Merger Folds KMS Financial, Investacorp, and Securities Services Under Securities America Banner
:
Updated:
Former Customers of SagePoint Financial Broker Christopher Bice Seek More Than $2M in Damages
:
Updated:
Northstar Financial Services (Bermuda) to Liquidate After Extension Request Denied
:
Updated:
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
:
Updated:
SSEK Law Firm Investigates Bankoh Investment Services Brokers Over Northstar Financial Services (Bermuda) Sales
:
Updated:
Former Principal Securities Broker John Krohn Involved in $39M in Investor Fraud Claims
:
Updated:
Cambridge Investment Services, Securities America, and JW Cole Financial Fined Over LJM Preservation & Growth Fund Recommendations
:
Updated:
Georgia Retiree Files Non-Traded REIT Fraud Claim Against MML Investors Services
:
Updated:
Archegos Capital’s Massive Forced Liquidation is a Hard Hit to Global Banks Credit Suisse, Nomura and Others
:
Updated:
Geneos Wealth Management Named in $1M GPB Investor Fraud Claim
:
Updated:
Ex-Merrill Lynch Broker Marcus Boggs Pleads Guilty In $3M Investor Fraud
:
Updated:
SSEK Law Firm Investigates Brokerage Firms That Sold New York City REIT to Customers
:
Updated:
Ex-Ocean Financial Services Broker Maria Calcena Named In Customer’s Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Advisor Group Broker-Dealers Named in GPB Capital Fraud Claims Raised Their Legal Reserves
:
Updated:
SEC Accuses Texas-Based Investment Adviser APEG Energy of $17M Oil and Gas Fraud
:
Updated:
Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses
:
Updated:
Why SPACs Can Be A Poor Investment Choice For Retail Investors
:
Updated:
RBC Capital Markets Broker Brian Wurdemann Named in $1M Mutual Fund Case Alleging Misrepresentations
:
Updated:
Jubilado entabla reclamación de fraude por $500,000 contra Truist Investment Services por inversión en Northstar Financial Services (Islas Bermudas)
:
Updated:
UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M
:
Updated:
GPB Capital Notifies Investors of Independent Monitor But Denies Ponzi Fraud Allegations
:
Updated:
FINRA Bars Former LPL Financial Broker Rhett Bedwell Following Ponzi Fraud Allegations
:
Updated:
Retiree Files $500K Northstar Financial Services (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Atria Wealth Solutions to Acquire SCF Securities Which Sold GPB Investments
:
Updated:
$1.8B Infinity Q Diversified Alpha Fund Stops Suspensions Following Fraud Allegations
:
Updated:
Missouri and Illinois Fraud Lawsuits Say Ex-GPB Capital Holdings CEO and Ascendant Capital Owner Illicitly Made Over $40M in Over $1.7B Ponzi Scam
:
Updated:
Ex-David Lerner Associates Broker Charles Bonilla Suspended For Alleged Unsuitable Energy Investment Recommendations
:
Updated:
Former Janney Montgomery Scott Broker Apostolos Pitsironis Arrested For Defrauding Investors
:
Updated:
Investor Blames David Lerner Associates Broker Glenn Werner For Investment Losses
:
Updated:
JP Morgan Securities & Two Former Brokers Ordered to Pay $19M, Found Liable for Elder Financial Abuse
:
Updated:
Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares
:
Updated:
NY Retiree Says David Lerner Associates Broker Mike Norton Sold Her Unsuitable Energy 11 Investment
:
Updated:
SEC Seeks Court-Appointed Monitor To Protect Investors Victimized In Mass GPB Capital Ponzi Scam
:
Updated:
Woodbury Financial Services Broker Robert Ginsberg Accused of Unsuitable Investment Recommendations
:
Updated:
New York And Other States Sue GPB Capital Holdings For Mass Ponzi Scam
:
Updated:
Investors Seek $600K in Negligence Claims Naming Money Concepts Capital Broker Ray Reese
:
Updated:
GPB Capital Fraud Case Against Arete Wealth Management Results In $515K Arbitration Award
:
Updated:
SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
:
Updated:
Commonwealth Financial Network Broker Joseph Leonczyk Sold FS Energy and FS KKR Investments To Customers
:
Updated:
GPB Capital Principals Indicted
:
Updated:
Ex- CEO’s Lawsuit Against GPB Capital Holdings’ Prime Automotive Group May Proceed
:
Updated:
Triad Advisors Broker Darrin Cohen Under Scrutiny Over Possible GPB Private Placement Sales
:
Updated:
Ex-MML Investors Services Broker Gary Hammond Accused of Making $1.6M In Unauthorized Transactions
:
Updated:
Investment Recommendations Don’t Always Equate To a Customer’s Best Interests
:
Updated:
GME, AMC, BB and Other High Flying Stock Losses
:
Updated:
Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches
:
Updated:
Customers Seeking $1.8M Over Investments Recommended By Western International Securities’ David Bibo
:
Updated:
Crown Capital Securities Broker Lanny Howarter Is Named in $600K Unsuitability Claim
:
Updated:
David Lerner Associates Broker Rafael Klein May Have Unsuitably Recommended Energy 11 To Investors
:
Updated:
FINRA Orders Worden Capital Management to Pay Over $1.5M For Brokers’ Churning
:
Updated:
LPL Financial Acquires Lucia Securities
:
Updated:
SunTrust Brokers May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Investors
:
Updated:
LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision
:
Updated:
Utah Retirees Files $500K Investor Fraud Claim Over GPB & REIT Losses After Working With Triad Advisors & Broker Michael Payne
:
Updated:
Crown Capital Securities Broker Kenneth Barroga Under Scrutiny For Possibly Selling GPB Private Placements
:
Updated:
Transamerica To Pay $8.8M Over Unsuitable Mutual Fund, 529 Plans, and Variable Annuity Sales
:
Updated:
SEC Sanctions Voya Financial Advisors $23M Over Conflicts That Cost Customers
:
Updated:
Ex-Merrill Lynch Broker Gets Eight Years in Prison For Investor Fraud
:
Updated:
Customers Blame Ex-Wells Fargo Broker Clearing Services Herbert Weith For Variable Annuity Losses
:
Updated:
Ex- NPB Financial Broker Cynthia Cowden Allegedly Recommended Investments That Were Too Risky For Senior Investors
:
Updated:
RBC Capital Markets Broker Joseph Chu Accused of Overconcentrating Customers’ Accounts in Oil and Gas Investments
:
Updated:
Broker Tamber Proctor Accused of Unsuitably Recommending FS Energy & Power Fund and the Northstar REIT
:
Updated:
Texas Retiree Files GPB Capital Fraud Claim Against Calton & Associates
:
Updated:
Municipalities’ Inability to Pay Bond Interest Places Investors in a Precarious Position
:
Updated:
Spirit of America Energy Investors May Have Grounds for Unsuitability Claims Against David Lerner Associates
:
Updated:
Coastal Equities To Pay $280K To Elderly and Retiree Clients Over Allegedly Unsuitable Trades
:
Updated:
Texas Wells Fargo Broker Kurt Gunter Is Sanctioned Over Allegedly Unsuitable UIT Sales
:
Updated:
OCC Orders JPMorgan Chase Bank to Pay $250M For Inadequate Risk Management Practices
:
Updated:
Brokers May Have Unsuitably Recommended ARC NYC REIT To Retail Investors
:
Updated:
Fired Morgan Stanley Brokers May Have Grounds for Wrongful Termination Claims
:
Updated:
New York Yankees’ Aroldis Chapman Files $3M Investment Fraud Claim Against Pro Management Resources
:
Updated:
Frontier Communications to Sell $2.8B of Junk Bonds as Part of Bankruptcy Exit
:
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:
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:
Investors Have Lost Money in RW Holdings NNN Real Estate Investment Trust
:
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
:
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:
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:
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 Cavaness 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:
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:
Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
:
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:
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:
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:
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:
Financial Firm News: Goldman Sachs Faces Criminal Fraud Charges in Malaysia and UBS is Fined $15M Over Poor Anti-Money Laundering Detection Systems and Multibillion-Dollar Fraud Involving 1MDB Fund Leads to Criminal Charges for Goldman
:
Updated:
Investor Fraud: Ex-HCR Wealth Advisors Advisor Who Stole $1.2M from Pro Athlete Makes a Deal with the SEC, Investment Adviser and His Daughter Settle $7.9M Ponzi Scam Case, and Texas-Based Developers to Pay Over $50M in E-B Offering Scam
:
Updated:
Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations
:
Updated:
FINRA Suspends Ex-Securities America Broker
:
Updated:
Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Fraud
:
Updated:
Former Lombard Securities Broker Pleads Guilty in Multimillion-Dollar Ponzi Scam That Defrauded Older Investors
:
Updated:
International Assets Advisory “Proudly” Hires Brokers With “Checkered” Pasts
:
Updated:
Options Trading Website Owner Faces Charges in Alleged $4M Online Binary Options Fraud
:
Updated:
FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam
:
Updated:
Investment Fraud: Madoff Ponzi Scam Victims Receive Another $695M, Ex-Royal Alliance Associates Investment Adviser Pleads Guilty To Stealing $3M From Customers, and MoneyGram Investor Proposes Lawsuit After $125M Settlement
:
Updated:
JPMorgan Chase and Citigroup Settle Euribor Investor Case for $180M
:
Updated:
Investor Fraud: FINRA Awards Over $1M in Churning Case Against Legend Securities and Morgan Stanley Financial Adviser is Sentenced After Spending Over $950K of Clients’ Money
:
Updated:
FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities
:
Updated:
H. Beck Ordered to Pay $400K for Unsuitable Variable Annuity Sales to Customers
:
Updated:
Alleged $17.5M Texas Investor Fraud Leads to Criminal Indictment
:
Updated:
Investor Fraud: Investment Adviser Pleads Guilty to Retirement Fund Fraud, Stock Research Firm is Sued in Alleged Pump-and-Dump Scam That Targeted Seniors, and A Rabbi is Accused of Running a $35M Ponzi Scam
:
Updated:
Ex-UBS Puerto Rico Broker Jose “Whopper” Ramirez Pleads Guilty to Bank Fraud
:
Updated:
GPB Capital Holdings’ Auditor Resigns Within Months of Private Placement Sales Suspension
:
Updated:
IMS Securities Ordered to Pay Retirement Investors $1M in UDF REIT Case
:
Updated:
US Government Sues UBS for Residential Mortgage-Backed Securities Fraud
:
Updated:
FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets
:
Updated:
Former Next Financial Investment Adviser and Broker Pleads Guilty to Multimillion-Dollar Investor Fraud Charges
:
Updated:
Puerto Rico UBS Closed-End Mutual Fund Fraud Lawsuit Goes to Arbitration
:
Updated:
Ex-LPL Financial Broker Gets 20 Years in Prison for Securities Fraud
:
Updated:
UBS Ordered to Pay Investor $693K in Puerto Rico Bond Fraud Case
:
Updated:
FINRA Bars Another Ex-Morgan Stanley Broker
:
Updated:
Texas Couple Indicted for Allegedly Embezzling $14.5M from Retirement Funds
:
Updated:
Investor Fraud: Boston Hedge Fund Manager Pleads Guilty in Ponzi Scam Case, Ex-State Street Executive is Sentenced to 18 Months, and Willow Creek Fund Manger Must Forfeit $13M
:
Updated:
UBS to Pay $19.8M in Puerto Rico Bond Fraud Case
:
Updated:
Texas Oil and Gas Businessman Settles $80M Fraud Case Involving Breitling Energy Shares
:
Updated:
HSBC and Nomura to Pay $765M and $480M, Respectively to Settle RMBS Fraud Claims
:
Updated:
Investment Advisor Fraud: Dawn Bennett is Convicted in $20M Ponzi Scam, Guilty Plea Reached in $6.1M Fraud, and Genesis Advisory Services Operator Settles SEC Charges
:
Updated:
Fidelity is Sued Over Alleged Retirement Plan Mismanagement Again
:
Updated:
Another Ex-Morgan Stanley Broker is Barred by FINRA
:
Updated:
Investor Fraud: Man Who Solicited Women He Dated is Convicted, Real Estate Developer is Accused in $16M Financial Scam Turns Himself In, and Couple Allegedly Promised Over 2200% in Investment Returns
:
Updated:
FINRA Bars Former Morgan Stanley and Wells Fargo Brokers
:
Updated:
Financial Fraud: Massachusetts Mayor is Accused of Bilking Investors, Former Wells Fargo Broker Allegedly Stole $1M From Older Clients, and the LendingClub Asset Management Settles $4.27M Securities Case
:
Updated:
Wayde McKelvy, Accused of Defrauding Retirees and Widows in $54M Ponzi Scam, is Now on Trial
:
Updated:
Real Estate Investment Trust Cases: SII to Repay Clients Who Bought Non-traded REITs, Trustmont Financial Group is Ordered to Pay Client $1M, and Vereit Settles with More Investors Over Accounting Fraud Claims Against ARCP
:
Updated:
SEC and CFTC File Multiple Binary Options Fraud Complaints Accusing Marketers of Defrauding Investors of Millions of Dollars
:
Updated:
Securities News: Citigroup to Pay $12M Over Alleged Dark Pool Misrepresentations, SEC Issues Nearly $4M Whistleblower Award, Ex-Bankrate CEO Who Pleaded Guilty to Fraud Gets 10 Years in Prison
:
Updated:
Texas Investor Fraud: Investment Adviser is Barred in $6.8M Offering Fraud and Investment Promoter Gets 25 Years in Prison for Stealing from Clients
:
Updated:
TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities
:
Updated:
Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M
:
Updated:
Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners
:
Updated:
Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification
:
Updated:
SEC Issues $55.5M in Whistleblower Awards
:
Updated:
Investor Fraud: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud
:
Updated:
Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations
:
Updated:
Another Texas-Based Wells Fargo Broker is Barred by FINRA
:
Updated:
FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers
:
Updated:
Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company
:
Updated:
New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance
:
Updated:
Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.
:
Updated:
Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed
:
Updated:
1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam
:
Updated:
Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA
:
Updated:
Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement
:
Updated:
Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services
:
Updated:
Oppenheimer Found Liable for Representative Mark Hotton’s Fraud
:
Updated:
Oppenheimer Continues to Show Serious Supervisory Deficiencies
:
Updated:
Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
:
Updated:
Securities News: Genstar to Acquire Cetera With $1B in Junk Bond Sales, Financial Adviser Admits to Fraud Involving $2M Trading Loss, and BlackRock Funds Shareholders Sue Over Excessive Fees
:
Updated:
Investor Fraud: Alleged $100M Future Income Payments Fraud, Capital Investment Group to Pay One Elderly Investor $400K, and Tech Fund Adviser is Now Facing Fraud Charges
:
Updated:
Unregistered Brokers Are Charged With Selling More Than $243M of Woodbridge Securities to Over 1600 Investors
:
Updated:
Ex-Wells Fargo Advisors Claim Bank Pressured Them to Sell Products That Charged Higher Fees to High-Net Worth Investors
:
Updated:
Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Puerto Rico UBS Bond Funds
:
Updated:
GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors
:
Updated:
Alleged $135M Ponzi Scam Involving Equitybuild
:
Updated:
Securities Cases: Goldman Sachs Investors Can Proceed with $13B CDO Fraud Litigation, Deutsche Bank Resolves Self-Dealing Lawsuit for $21.9M, and Elkhorn Capital Group Founder is Accused in $2.5M ETF Fraud
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Larry Dearman, Sr. Ponzi Scheme Investigation
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Ameriprise Financial to Pay $4.5M Over Alleged Failure to Protect Investors
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Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims
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Defective Security Swaps
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Precious Metal Investments
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SSEK Investigating Claims Involving Jeff Wilson and Wells Fargo
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Retired Couple Awarded $800,000 in Damages From Oppenheimer & Co., Inc
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Wilmington Trust Agrees to $210M Settlement in Shareholders’ Bank Fraud Lawsuit
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Platinum Partners Principal Pleads Guilty to Fraud
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Cryptocurrency Fraud Allegations Lead to Criminal Allegations Alleging $32M ICO Scheme
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Assured Guaranty Sues Puerto Rico Over Fiscal Rescue Plan
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Securities Cases: Anti-Money Laundering Violation Allegations Lead to $5.3M Fine Against ICFBCFS, Three Houston-Based Healthcare Executives are Accused of Falsifying Financial Information, and Pension Fund Accuses Wells Fargo of Holding Back Rebate Fees
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Royal Bank of Scotland Settles Mortgage Fraud Case for $4.9B
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Gerova Financial Group Chairman and Others Plead Guilty
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Investor Fraud: Four More People Charged in $34M Biozoom Stock Scam, Alternative Investment Firm Owner is Accused of Misappropriating Nearly $6M, and California Investment Adviser Settles Allegations in $71M Scheme
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Texas Regulator’s Probe Uncovers Widespread Cryptocurrency Fraud
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Judge Rules Against Ex-UBS Puerto Rico Broker in Closed-End Fund Case
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Recent Criminal Securities Fraud Cases: Ex-OmniView Capital Advisers CEO is Convicted in $300M Fraud, Jury Finds Former-Wilmington Trust Executives Guilty, and Jury Finds Two Hedge Fund Professionals and a Health Consultant Guilty in Insider Case
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LPL Financial Agrees to Pay $26M Over Unregistered Securities to State Securities Regulators
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Massachusetts Hedge Fund Manager Sentenced to Prison for Investor Fraud
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Ex-UBS Official Recounts How the Bank Got Investors to Take on More Puerto Rico Debt
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$85M Ponzi Scam Allegedly Defrauded at Least 150 Investors
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Panasonic Settles Accounting Fraud and FCPA Violation Charges For $280m
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JB FINANCIAL RESOURCES ORDERED TO PAY $750K OVER $1.2B WOODBRIDGE PONZI SCAM
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SECURITIES CASES: YAHOO AGREES TO PAY $35M TO SETTLE CHARGES AND A BIOTECH START UP IS ACCUSED OF ISSUING MISLEADING INFORMATION
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$22M HEDGE FUND FRAUD LEADS TO SEC BAN FOR MONEY MANAGER
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Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit
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Chicago Investment Adviser Daniel Glick Is Sentenced For Senior Investor Fraud
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SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser
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SEC Accuses Former Broker of $5.7M Pension Plan Fraud
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Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family
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Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnerships
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Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years
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Santander Securities Will Shut Down Its San Juan, Puerto Rico Branch in May
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Texas Megachurch Pastor and Financial Planner Are Accused of Senior Investor Fraud
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Barclays Settles DOJ’s Mortgage-Backed Securities Fraud Case for $2B
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Investment Fraud: Man Who Pretended to be Financial Adviser Pleads Guilty to $13M Scam, Ponzi Fraudster is Accused of Bilking Friends & Coworkers, and Real Estate Scammers Must Pay Back Investors $30M
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HSBC Settles Libor Rigging Lawsuit for $100M
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Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Cases
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Wedbush Securities Faces Failure to Supervise Charges Over Broker’s Pump-And-Dump Scam
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Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violations
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Massachusetts Regulator Accuses ARO Equity of $5.8M Ponzi Scam that Bilked Seniors
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Bank of America to Pay $42M to New York Over Fraudulent “Masking” Involving Electronic Trading
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Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives
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FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim
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Judge Says Ex-F-Squared CEO Must Pay More Than $13M Related to AlphaSector Strategy and ETF Fraud
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Goldman Sachs Gives LPL Financial Holdings Clients Access to Securities Lending
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SEC Grants $83M in Whistleblower Awards in $415M Bank of America Settlement
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Stock Fraud: Fyre Festival Founder to Pay $26M After Guilty Plea, Promoter is Accused of Defrauding Gold Mining Stock Investors, and SEC Prevents Alleged Pump-And-Dump Scam
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Theranos and Founder Elizabeth Holmes Charged in Alleged $750M Fraud
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Strategic Return Notes
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Massachusetts Investigates Wells Fargo Advisers
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Investigation Underway of Asset Management Fund’s (“AMF”) Ultra Short Fund (AULTX) and the Role of Shay Asset Management
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Ex-Equifax Trader is Accused of Insider Trading Before Data Breach News Was Disclosed to the Public
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Securities Industry Headlines: Convicted Hedge Fund Manager Martin Shkreli Gets Seven Years, Zohar Investment Funds File for Bankruptcy Protection, and Ex-Morgan Stanley Investment Adviser Named in $34M Securities Arbitration Loss Lands at Pinnacle
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Voya Holdings Subsidiaries to Repay Mutual Funds Over $2M
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Texas Securities Cases: Austin Investment Adviser to Pay Over $715K to Settle Cherry Picking Allegations and Dallas-Based Oil and Gas Company is Accused of $95OK Investor Fraud
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Royal Bank of Scotland Settles NY’s RMBS Fraud Case for $500M
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Securities News: Wells Fargo’s Wealth Management Division is Reportedly Under Investigation, Merrill Lynch is Accused of Gatekeeping Failures Involving Unregistered Securities Sales, and NYSE Must Pay $14M Over Regulatory Failures
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FINRA Cases: Allegis Investment Adviser and Ex-Broker Ordered to Pay Nearly $405K, Former Madison Avenues Securities Broker Accused in $1.67M Unauthorized Trading Case is Barred by FINRA, and US Senator Elizabeth Warren Introduces Bill To Address Unpaid Arbitration Awards
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Retirement Accounts : Ameriprise Settles SEC Allegations That It Overcharged for Mutual Funds & Fidelity Undergoes Customer Exodus from Flagship Funds
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UK Brokerage Firm is Accused of $50M Stock Fraud as SEC Files Manipulative Trading Charges
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As LJM Preservation and Growth Fund Declines in Value and Announces Shut Down, Investors Suffer Losses
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Three Companies and Their Principals Accused of $11.7M Texas Oil and Gas Offering Fraud
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SEC Fights to Stop Fraud Scam Targeting Small Businesses
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Ex-Georgeson Employees Accused of Trading Bribes for Information Are on Trial for Fraud
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Financial Firm News: Hilliard Lyons Must Pay $445K to Elderly Investor, Merrill Lynch Ordered to Pay Vermont $140K After Broker Makes Unauthorized Changes, and FSC Securities Settles with Montana Regulators
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Judge Rules that Martin Shkreli Will Be Held Responsible for $10.4M in Investor Losses
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Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud
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Deutsche Bank Settles Libor Manipulation Lawsuit for $240M
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UBS Must Pay Five Clients $521,000 Over Puerto Rico Bond Fraud
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CFTC News: Regulator Warns Customers, Including Experienced Investors, About Virtual Currency Pump-and-Dump Scam and Enhances Fraud Enforcement Efforts
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Investor Fraud: Strong Investment Management Faces Allegations of Cherry Picking, a $2.5M Financial Scam Leads to Convictions, and a Former Investment Adviser Is Sentenced to Serve Prison Time
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Insider Trading: Two Former Executives Accused of Making Illegal Profits from Emeritus Stock Trading Settle SEC Charges, More Final Judgments Reached Against Circle of Amateur Golfers, and Investment Adviser Gets Six Months in Prison
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Securities Cases: Massachusetts Accuses Scottrade of Running Sales Contests and Targeting Retirees, Wife of Investment Adviser Must Pay $500K in Fraud Case, and Hedge Fund Manager and His Firms Are Ordered to Pay Almost $30M for Diverting Investor Money
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CFTC to Pay $30M to Whistleblower in $367M Asset Management Case Against JPMorgan
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BitFunder and Its Founder Face Fraud Allegations
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Texas Securities Cases: Two Dallas Men Ordered to Halt $4M Oil and Gas Offering Amidst Fraud Allegations, DavorCoin is Barred from Offering investments, and Austin Cryptocurrency Investment Firm is Told to Stops Securities Sales
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Fund Manager Accused of Losing $178M in Residential Mortgage-Backed Securities is Barred from the Industry
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Massachusetts Securities Regulator Charges Investment Advisor with Defrauding Investors, including Seniors, in 26-Year-Long $1M Real Estate Scam
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Barclays Faces New Criminal Fraud Charge Over $3B Qatar Loan
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SEC Cases: Atlanta Fund Manager is Accused of Misusing Investors’ Funds and Final Judgments are Reached in $1.95M Matched Trades Scam and in REIT Fraud Case Against Ex-ARCP CFO Brian Block
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Deutsche Bank Securities Will Pay Back Customers Over $3.7M for Commercial Mortgage-Backed Backed Securities Sales
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FINRA Cautions Investors About Scams Involving the Impersonation of the SRO
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Ex-Morgan Stanley Executive is Sentenced in Multimillion-Dollar Fraud That Targeted Widow
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Securities Firm News: Rabobank NA to Pay Almost $369M After Pleading Guilty to Felony Conspiracy, Alabama Supreme Court Says Lawsuit Against Sterne Agee Can Proceed, and Maryland Wealth Management Firm is Accused of Fraud
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Securities Fraud Cases: Businessman Accused in Jay Peak Resort-Related Investment Scheme Must Pay Back Over $81M in Investor Money, Former State Street VP Faces Another Criminal Charge, and Lawyer Pleads Guilty in $20M Stock Scam
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Deutsche Bank Securities Must Pay $70M for Trying to Rig the ISDAFIX Benchmark
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SEC Stops Alleged $5.3M Hedge Fund Fraud Involving Willow Creek Advisors
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Two Former Morgan Stanley Investment Advisers Accused of Fraud Plead Guilty
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BNP Paribas to Pay $90M After Pleading Guilty in FX Currency Rigging Probe
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Texas Securities Cases: Ex-LPL Financial Adviser is Suspended for Charging Unreasonable Fees and Commissions, State Regulator Enters Cease and Desist Order Against R2B Coin, and Former Pharr Bank Worker Pleads Guilty to $1M Theft Involving Elderly Customers
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Deutsche Bank, UBS, and HSBC Securities Settle Respective Spoofing Cases with the CFTC for $46.6M
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AriseBank in Dallas is Accused of Alleged $600M ICO Offering Fraud
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SEC Cases: Woodbridge Agrees to Pay Legal Fees for Investors Harmed in Alleged $1.2B Ponzi Scam, Hoplon Financial Group is Accused of $2.18M Securities Offering Scheme, and Ticket Reserve Settles Investor Fraud Charges
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Goldman Sachs is Lead Plaintiff in Institutional Investor Fraud Lawsuit Against Startup Outcome Health
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Securities Fraud: Fast Food Restaurant Employees Allegedly Posed as SEC Employees to Bilk Investors, Chicago Investment Adviser Pleads Guilty to Defrauding Senior Investors, and Man Awaiting Real Estate Investment Fraud Sentence is Arrested While Trying to Leave the US
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CFTC and Massachusetts Regulator Accuse Bitcoin and Cryptocurrency Operators of Selling Unregistered Securities
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HSBC Arrives at $100M Currency Rigging Settlement with DOJ
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FINRA Awards more than $4M to Elderly Investors Bilked by Ex-First Allied Securities Broker
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Investors Continue to Go After Goldman Sachs in the Wake of Abacus CDO-Related Losses
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Barclays Capital Trader is Indicted in Massive Front Running Scam
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BitConnect Shutters Its Lending and Exchange Operation, Leaving Texas Investors With No Place to Trade Their BCC Currency
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FINRA Cases: Ex-Morgan Stanley Broker and Former Western International Securities Broker Are Barred, Questar Capital Ordered to Pay $797K Restitution Over Mutual Fund Sales, and Morgan Stanley Smith Barney is Accused of Not Sending Millions of Margin Disclosures
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US Supreme Court to Hear Challenge Against SEC Over In-House Judges
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Securities Fraud: Attorney Ordered To Pay Disgorgement in Alleged $15.8M Investor Fraud, and Investment Adviser Accused of Bilking Professional Athletes Pleads Guilty, as Does Hedge Fund Manager In A Separate Investor Scam
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Securities News: Meyers Associates Fined $75K for Sales Literature, Former Royal Bank of Scotland Trader is Banned For Rigging Libor, and Ex-Credit Union CEO is Sentenced in Bank Fraud Case
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Malachi Financial Products is Accused of Defrauding The City of Rolling Fork, Mississippi
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SEC Suspends Trading in UBI Blockchain After 900% Stock Jump from Cryptocurrency Craze
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Securities Cases: Petrobras Will Pay $2.95B in Class Action Case, Ex-Och Ziff Hedge Fund Executive is Indicted Over Investment Scam, and Former Banker is Accused of Defrauding Excel Bank of Millions of Dollars
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Criminal Securities Fraud: Former ArthroCare CFO is Sentenced in $750M Scam, Ex-Lawyer of Marti Shkreli is Convicted for Concealing Financial Scheme, and former Bankrate CFO is Accused of Rigging The Firm’s Books
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Texas Securities Regulator Orders BitConnect To Stop Allegedly Fraudulent Sales of Unregistered Bitcoin Investments
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Ex-ConvergEx Group Executive Accused of Defrauding Charities and Retirement Funds Settles Fraud Charges for $975K
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SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for Over $1M in Kickbacks
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Royal Bank of Scotland Settles Mortgage-Backed Securities Fraud Case Brought by Pension Funds for $125M
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FINRA Orders Citigroup to Pay $11.5M, Including at Least $6M to Investors, Over Inaccurate Stock Research Ratings
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Multimillion-Dollar Investment Adviser Fraud Cases Target Widows, Older Investors, and Other Retail Investors
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Train Babcock Advisors Charged With $9M Fraud Against Charity Client
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Houston Technology Company is Accused of $28M Texas Securities Fraud
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Regulators Fine Merrill Lynch $26M and J.P. Morgan Securities $2.8M, Respectively
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Financial Firm News: Raymond James Fined $2M Over Email Supervision, FinMa Finds JPMorgan Chase Responsible for Anti-Money Laundering Violations, and Bank of America, Wells Fargo, Citigroup, and Other Big Banks Get Federal Approval for Their Living Wills
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FINRA Warns About Cryptocurrency Related-Fraud
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UBS Did Not Fully Disclose the Risks Involved in Puerto Rico Bond Funds to Investors and Brokers, Reports CNBC
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Woodbridge Group and Owner Accused of $1.2B Ponzi Scam that Targeted Over 8,400 Investors, Including Senior Investors
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UBS Group Ordered to Pay Former CMBS Strategist Turned Whistleblower $903K
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SEC Suspends Trading in The Crypto Company After 2700% Rise in Its Stock Price
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FINRA Cases: Ex-LPL Broker is Barred for Not Disclosing Role in Private Securities Transactions, Merrill Lynch is Fined $1.4M For Extended Settlement Transactions, and Noble Capital Markets Agrees to Pay $225K for Failing to Disclose Conflicts to Investors
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Texas Real Estate Investor Scams Lead to Investor Losses and Criminal Cases
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SEC Cases: Biopharmaceutical Company Accused of Not Disclosing Executives’ Perks, Therapist Allegedly Insider Traded In Zulily Stock, and Immigration Lawyer Faces Claims of EB-5 Investment Fraud
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Securities Fraud: FINRA Bars Two Ex-Wells Fargo Brokers Over Unsuitable Securities Sales, Pennsylvania-Registered Representative is Accused of $2.35M Ponzi Scam, and Digital Display Ad Company Allegedly Stole Over $2M from Retail Investors
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Chicago Investment Manager Indicted Over $10M Fraud
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Westport Capital Markets LLC is Accused of Undisclosed Markups as Investors Lose Over $1M
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Securities Cases : Ex-Stock Trader Allegedly Made Over $1M from Insider Trading, Investment Advisers Accused of Conflicted Transactions & Misleading Investors, and Ex-Pro Football Player Gets 40 years Behind Bars over $10M Scam
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Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
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Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
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Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texas
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10 Four Points Capital Partners Customers Lose $574K Because of Alleged Broker Fraud
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Securities News: Whistleblower is Awarded $4.1M, FINRA Bars Former UBS Broker Who Managed High Net Worth Investor, and Microcap Company Is Accused of Fraud
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
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Woodbridge Files For Bankruptcy, Misses Payments Due to Investors
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Ex-Illinois Mayor Accused in $5.2M Municipal Bond Fraud
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Texas REIT UDF Files Lawsuit Accusing Hedge Fund Manager of Damaging False Statements
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SEC Awards Two Whistleblowers $16M
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$5.4M Senior Investment Fraud Allegedly Involved Penny Stocks
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Ponzi Scams: DOJ Begins Paying Distributions to Madoff Victims, Real Estate Investment Scam Allegations Lead to Guilty Plea, and SEC Seeks to Shut Down $38M “Ad Packs” Scheme
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FINRA Cases: Craig Scott Capital Expelled Over Excessive Trading Claims, CFD Investments Fined $30K to Resolve Inadequate Supervision Allegations Involving ETFs, and H. Beck Broker is Accused of Making Unsuitable Investment Recommendations
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Ex-Nomura Holdings Manager Gets Prison Time for Insider Trading
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SEC Cases: $15.7M Final Judgment Issued in Ponzi Scam that Touted Loans to Athletes, MicroCap Issuer is Accused of Accounting Scheme, and Company’s Assets are Frozen in the Wake of Alleged $5.3M Offering Fraud
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Securities Firms: JP Morgan Securities to Pay $1.25 For Inadequate Background Checks of Thousands of Employees and Gray Financial Group Settles with SEC Over Unsuitable Investments to Pension Funds
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Hedge Funds Get Rid of Puerto Rico General Obligation Bonds After Hurricane Maria
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SEC Cases: NY Town Accused of Municipal Securities Fraud, Jay Peak Owner Accused in $200M Immigrant Visa Fraud Arrives at Tentative Settlement, and Financial Judgment is Reached in $110M Investor Fraud Against Inofin
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Investment Adviser Faces Charges That He Bilked Older Investors of $5.2M
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Texas Securities: Investment Adviser Suspended by State Commissioner, Lawyer Ordered to Pay Almost $180K in Disgorgement Plus Interest, and Houston Man Must Pay Almost $3.8M & Serve 46 Months in Prison for $6.4M Diamond Investment Scam
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SEC Cases: Biotech Company Accused of Misleading Investors & Accounting Fraud, Millennium Management Resolves Illegal Short Selling Charges, Day Trader Alleged Engaged in Unauthorized Trades in Over 100 Brokerage Accounts, and Multiple Traders Allegedly Insider Traded Based on One Tip
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Credit Suisse Resolves NY Regulator’s Forex Rigging Probe for $135M
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Singer Financial Corp. Accused of Making Illegal Securities Offering of Promissory Notes to Unsophisticated Investors
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Ex- Investment Adviser is Accused of Defrauding Retirees of Over $1.85M
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SEC Orders Wells Fargo Advisors to Pay $3.5M Penalty
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CFTC Cases: Commodity Investor Fraud Case Results in $4.5M Default Ruling and Federal Court Orders Arizona Company & Its Owner to Pay Over $2.2M in Anti-Fraud Case
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Texas Securities Fraud: Houston Investment Advisor Gets Five Years for Defrauding Investors and Prison Sentences are Rendered in $6.4M Diamond Investor Fraud Case
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FINRA Bars NY Broker For Excessive Trading in Blind Senior Investor’s Accounts
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Criminal Securities Fraud: Ex-ARCP CFO Sentenced to 18 Months for REIT Scam, Former Merrill Lynch Broker Pleads Guilty Over Excessive Commissions, and Businessman Convicted For Defrauding Washington Mutual Bank
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UBS to Pay $3.5M Penalty To Settle Allegations that It Disadvantaged Retirement and Charity Accounts During Mutual Fund Transactions
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SEC Orders 235 LLCs to Produce Documents Related to Its Woodbridge Fraud Probe
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FINRA Cases: Ameritas to Pay $180K Fine Over Variable Annuity Sales, UBS Ordered to Pay Former Broker $3M for Defamation, and 13 Investors Awarded $5M After Losses Allegedly Caused by Ex-LPL Financial/Edward Jones Broker
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Credit Suisse and MBIA Insurance Continue to Fight Over Mortgage-Backed Securities Fraud Claims in Court
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Securities Fraud Settlements: HSBC, Deutsche Bank, and Citi Settle Libor Class Action for $132M & RBS Settles Mortgage Bond Trading Case for $44M
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Securities Cases: NYSE Regulation Files Complaint Against Wedbush Securities, Ex-Apollo Management Sr. Partner is Accused of Billing Investors for Salon Visits & Vacations, and NY Money Manager & Ex-Investment Adviser Get Prison Sentences for Fraud
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After Hurricane Maria, Mutual Fund Company Franklin Resources Sells Hundreds of Millions of Dollars of Puerto Rico Bonds
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Deutsche Bank Agrees to Pay $220M to Resolve Libor Rigging Probe
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Two Ex-Ameriprise Financial Services Brokers Settle With FINRA Over Margin Trades
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Securities News: Ex- HSBC Executive Found Guilty of Fraud Involving $3.5B Currency Trading & Hedge Fund Sues Barclays For Copper Market Rigging
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California Extends Sanctions Imposed Against Wells Fargo Following More Bad Practice Disclosures
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NY Investment Adviser Accused of Bilking Non-Profit of $9M
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Massachusetts Accuses Investment Adviser of Venture Capital Fraud
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Mining Company Rio Tinto Accused of Fraud, Settles with FCA for $36M
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FINRA Goes After Two Brokers for Variable Annuity Replacement Fraud
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Jury Rules Against Former F-Squared CEO in SEC’s ETF Fraud Case
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Wells Fargo Brokerage Firms Ordered to Pay $3.4M Over Unsuitable Exchange-Traded Product Recommendations
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Oppenheimer Funds and Other Mainland Funds Take Financial Hit in the Wake Up of Hurricanes
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SEC Cases: Whistleblower Awarded Over $1M, Lawyers Accused in Microcap Fraud, and Former Executives Are Charged in $3.3B Accounting Fraud Involving Homex
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SEC Charges Investment Adviser With Defrauding Seniors Who Were His Friends
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Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit
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Barred Broker Accused of Bilking Retirees and Other Investors of $6M
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Updated:
Deutsche Bank Resolves US Currency Rigging Case for $190M
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Former Mortgage Security President Pleads Guilty to Defrauding Ginnie Mae of $2.5M
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NY Investment Adviser Charged in $19M Ponzi Scam
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Judge Approves $31M Class Action Securities Settlement Over RCS Capital Shares
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Ex-Broker Ordered to Pay $550K For Bilking Modest Income Investors in ETN/ETF Fraud Had Previous Unsuitable Investment Claims Against Him
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FINRA Charges Sandlapper Securities Over Fraudulent Private Placement Markups of Up to 270% Involving Texas Saltwater Disposal Wells
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Puerto Rico Bond Fraud Cases Name Former Morgan Stanley Broker Angel Aquino-Velez
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HSBC Ordered to Pay $175M Fine Over Forex Trading Oversight
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SEC Cases: Ex- IT Executive Accused in Stockholder Fraud, Regulator Stops E-B5 Scam in California, and Businessman is Accused of Using Investor Money to Buy Green Bay Packers Tickets
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Securities Fraud: Ex-LPL Rep is Indicted in Colorado, 15 Convictions in Indiana Securities Case, North Carolina Analyst Faces Criminal Charges, and ex-Illinois Investment Banker is Accused of Insider Trading
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Three Ex-Alexander Capital Brokers Charged with Making Unsuitable Recommendations That Cost Investors
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Appeals Court Upholds $839M MBS Fraud Judgment Against Royal Bank of Scotland Group & Nomura
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Ex-Investment Manager Gets 12-Years in $96M Ponzi Scam
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Morgan Stanley to Pay $13M Over Improper Supervision of Unit Investment Trust Sales
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Hilliard Lyons Ordered to Pay $569K For Allegedly Overconcentrating Accounts in Breitburn Energy Partners
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SEC Hacking Raises Concerns That Rogue Traders Might Access Filings in EDGAR Before They Are Public
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Former UBS Precious Metals Trader is Accused of Market Rigging
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Securities Fraud Cases: State Street to Pay Over $35M Over Alleged Secret Markup Charges and Material Omissions, Braskem to pay Investors $10M To Settle Lawsuit in Petrobas Scandal, & Three Ex-Registered Reps Resolve Market Rigging Case over Attempted Nasdaq Listing
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Brothers Plead Guilty in $40M Oregon Ponzi Scam That Bilked 400 Investors
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Alleged $283M Institutional Investor Fraud Involving Biotech Companies Leads to Criminal Indictments
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Insider Trading: Ex-Amazon Financial Analyst Allegedly Tipped Former Fraternity Brother, Man Accused of Giving Merger Info to Brother, Ex-Pricewaterhouse Coopers Auditor is Subject of Securities Case, and Deutsche Börse to Pay $12.5M in Fines
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After Hurricane Maria and Loss of Power in Puerto Rico, PREPA Bondholders Could Lose Investments For Good
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Securities Cases: SunTrust Settles Improper Mutual Fund Fee Charges for $1.1M, Ex-Morgan Stanley Barred Over Client He Later Married, and Two RIAs Are Barred for Cherry Picking
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FINRA Hearing Panel Orders C.L. King & Associates to Pay $750K Over Inadequate AML Program
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Securities Fraud: Mike Tyson’s Ex-Financial Adviser Gets 33-Month Prison Term, Alleged $15M Oil Drilling Investment Scam Leads to SEC Charges, and FINRA Warns Investors of Possible Stock Schemes After Hurricane Harvey
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Updated:
Ex-F-Squared CEO on Trial Against SEC in Exchange-Traded Fund Fraud Case
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US Sues Ex-Head Deutsche Bank Trader for Subprime Mortgage Fraud
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Thema International Reaches $687M Settlement Over Madoff Ponzi Scam
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NJ Investment Adviser Allegedly Used Investor Funds to Pay Gambling Bills, Radio Host is Accused of Bilking Investors of Over $5M in Ticket Resale Scheme, & Pennsylvania Man Pleads Guilty to Felony Charges
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Mutual Fund Lord Abbett’s Institutional Investor Fraud Lawsuit Against Valeant Pharmaceuticals Could Seek Over Three Times The Losses Alleged
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Ex-Morgan Stanley Broker Pleads Not Guilty to Insider Trading
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Ex-Virginia Investment Company Owner Arrested in Nearly $20M Fraud
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UBS Fights Insurers’ $20 Million Lawsuit Over Puerto Rico Bond Claims
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FDIC’s Libor Rigging Lawsuit Against Deutsche Bank, UBS, Royal Bank of Scotland, and Others in the UK Accuses Defendant Banks of Lowballing Benchmark Interest Rate Figures
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FINRA Bars Ex-HSBC Securities Broker Over Alleged $200K Senior Financial Fraud
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Securities Cases: FINRA Fines and Suspends Ex-Morgan Stanley Broker For Trying to Settle Without Firm Authorization, SEC Accuses Connecticut Financial Representative of Elder Financial Fraud and Freezes Assets of Ex-Colorado Broker for Allegedly Stealing Investor Funds
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Former Investment Adviser Gets Five Years in Prison for Stealing Over $600K From Clients
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US Bank Sued by Pension Funds Over $25B Tribal Bond Fraud Involving Jason Galanis
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Ex-Financial Adviser Dawn Bennett Faces SEC and Criminal Charges Over Alleged $20M Investor Fraud
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Securities Cases: Bank of America and Deutsche Bank Settle Agency Bond Rigging Litigation for $65.5M & Pension Funds Sue Citigroup, JP Morgan, and Other Big Banks Over Stock Lending Market Rigging Allegations
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Securities Fraud: Ponzi Scammer Tim Duncan Must Pay $1. 3M, Former ArthroCare CEO is Convicted Again in $750M Scheme, & Former Summit Wealth Management CEO is Sentenced to Eight Years
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NASAA Survey Finds That Number of Senior Financial Fraud Incidents is Growing
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Five Cetera Broker-Dealers Settle With FINRA for $3.3M Overcharging Mutual Fund Sales Fees to Charitable Organizations and Retirement Plans
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Investment Adviser Accused of Bilking Pro Athlete
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Despite FINRA Securities Arbitration Victory Against Wine Mogul, Fidelity is Accused of Prioritizing Its Own Interests
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Massachusetts Regulator Galvin Investigates Whether Exchanges Are Giving Kickbacks to Brokers for Making Institutional Investor Trades
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Investors Continue to Bring Puerto Rico Bond Fraud Claims Against UBS For, Among Other Things, Encouraging Them to Use Non-Purpose Lines of Credit to Purchase Securities
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$5M Insider Trading Case Leads to Criminal Arrests
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Securities Fraud: Investment Manager is Accused of Bilking Retired Teacher of $950K, Ex-U. Va Football Player is on Trial in $9M, and Former Investment Adviser Pleads Guilty
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FINRA Cases: Hallmark Investments is Expelled For Fraud and FSC Securities Must Pay $592K Over Exchange-Traded Fund Sales
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Ex-Investment Banker is Sentenced for Tribal Bond Fraud
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Securities News: Citigroup Settles Libor Lawsuit for $130M, Apollo Global is Sued for Fraud, and Ex-MSD Capital Analyst is Sentenced After Insider Trading
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Madoff Ponzi Scam Caused Investors to Pull $363B in Investments, Reports Study
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Ex-Hedge Fund Manager Martin Shkreli is Convicted of Securities Fraud
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Updated:
Aurelius Capital Files Lawsuit Seeking To Have Puerto Rico Bankruptcy Case Dismissed
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Texas-Based Oil and Gas Company CEO Accused of Misappropriating Investor Funds
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Securities Fraud: Ex-Gerova Financial Head is Sentenced to Six Years, Black Elk Claims Reinsurer Aided Platinum Fund Scam, and Bank of Tokyo-Mitsubishi Is Accused of Spoofing
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Massachusetts Files Criminal Charges Against Charges Hedge Fund Manager Over Multi-Million Dollar Ponzi-Like Scam
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Four Ex-Brokers Accused of Fraud that Allegedly Targeted Federal Retirees
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SEC Cases: Charges Filed Against Massachusetts Man Accused of Misappropriating Investor Funds to Pay Rent of Fiancée’s Restaurants & $2M Offering Fraud Allegedly Targeted 70 Non-Accredited Investors
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Securities News: Deutsche Bank, Citigroup, JPMorgan, and Interactive Brokers Are Fined for Market Access Violations & Halliburton Settles FCPA Charges for $29.2M
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Libor to Be Phased Out in 2021
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SEC Announces Two Whistleblower Awards of $2.5M and $1.7M, Respectively
:
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Texas Company Settles SEC Charges Alleging Oil and Gas Offering Fraud
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SEC Files Charges in Alleged Prime Bank Fraud
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SEC Cases: NY Lawyer Accused of Shell Company Stock Fraud, Research Scientist is Charged with Insider Trading, Officer in Pyramid Scam That Targeted Latinos Must Pay Disgorgement, and Two Men Are Accused of Price Rigging
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Updated:
Expanded Texas Securities Case Indicts Six in Multimillion Dollar Pump-and-Dump Scam
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Ex-NY Man Who Fled as a Fugitive to Vietnam Pleads Guilty in $10M Fraud
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Updated:
Hedge Funds Sue The U.S. Government Over Puerto Rico Bonds
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Two More Texans Plead Guilty in $6.5M Diamond Investment Scam
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Three Ex-Traders Who Worked for Barclays, JPMorgan, and Citigroup Plead Not Guilty to Forex Rigging Charges While BNP Paribas is Fined $246M
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Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison
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Investment Fraud: Retired NBA Star’s Ex-Financial Adviser is Barred by the SEC, Former Investment Adviser Pleads Guilty in $1.1M Scam, Convicted Broker is Sentenced to 18 Months, and One-Time Pastor Must Pay Back Over $1M to Victims
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14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investors
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Securities Fraud: Massachusetts Hedge Fund Manager Sentenced to 30 Months for Bilking Investors, Northeast Securities Ordered to Pay Customer $1.8M, and Ex-State Street Executive Pleads Guilty in Scheme Involving Secret Commissions
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Royal Bank of Scotland Settles FHFA’s MBS Securities Probe For $5.5B
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Updated:
CFTC Cases Over Commodity Pool Fraud, Misappropriation, and Illegal Wash Sales Lead to Civil Penalties and Other Consequences
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Judge Rules That Aequitas Investors’ Securities Fraud Lawsuit Against TD Ameritrade and Others May Proceed
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Updated:
SEC Investigates Morgan Stanley and Barclays Bankers Over Puerto Rico Bond Sales
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Updated:
Charitable Foundation Sues PJT Partners Over Andrew Caspersen Ponzi Fraud
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SEC Cases: Real Estate Agent Accused in Ponzi Scam, Oil Company Charged in $2.4M Offering Fraud, and NY Private Equity Fund Adviser Resolves Negligence Claims
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Securities Cases: Jury Renders Guilty Verdict in Ex-ARCP CFO Brian Block’s REIT Fraud Trial & Witnesses Testify Against Ex-Hedge Fund Manager Martin Shkreli
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Cleveland Cavaliers Player Richard Jefferson is Allegedly Bilked by Former Business Manager of $7M
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Houston Adviser Pleads Guilty to $1.9M Texas Financial Fraud
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CFTC Cases: Non-Prosecutorial Deals Reached With Ex-Citigroup Traders Over Spoofing Allegations, NY-Based Firm is Barred From Commodity Interest Trading, and Regulator Alleges Fraud Involving Forex Trading of a Pooled Investment
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SEC Accuses Ex-COO of Penny Stock Fraud
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SEC Cases: Oil and Gas Company is Charged With Accounting Fraud, Utah-Based Broker-Dealer is Accused of Not Complying With Anti-Money Laundering Laws, and Hemp Oil Company Allegedly Inflated Assets
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Updated:
UBS Financial Services of Puerto Rico Ordered to Pay Investors $793,000 Over Muni Bond Sales
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Dallas Cowboys Player Files Texas Securities Fraud Case Against Ameriprise
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Updated:
Jury Selection Underway in Securities Fraud Case Against Ex-Hedge Fund Manager and Pharmaceutical CEO Martin Shkreli
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US DOJ Sues for Assets That May Have Been Stolen from 1MDB Fund
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Investor Fraud: Massachusetts Adviser Sentenced in Cherry Picking Scam, Jury Convicts Indiana Man Accused of Bilking 22 Clients, Lawyer Accused of Bilking EB-5 Immigrant Program Investors, and Fake Fund Manager Will Go to Prison
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Updated:
FINRA Fines Wells Fargo $3.25M Over OTC Options Trading Reporting
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UK Files Criminal Charges Against Barclays With Fraud Involving Qatari Investors
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Market Rigging: NJ Stock Promoters Face SEC Charges, Another Pleads Guilty to Criminal Charges, and Engineer is Accused of Manipulating Fitbit’s Stock
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Securities Fraud: Ex-American Reality Capital Properties CFO is On Trial, Abu Dhabi Investor’s Lawsuit Against Citibank is Revived, and Drivers File Class Action Case Against Juno
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Updated:
$70M Ponzi Scam Leads to 5-Year Prison Term for Texas Man Who Bilked Christian Investors in Affinity Fraud
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Benchmark Rigging: Deutsche Bank to Pay $170M Over Euribor Fixing Allegations, UK Court Agrees to Hear Libor Swaps Case Against RBS, and Ex-Barclays, Citigroup, and JPMorgan Traders to Face Currency Manipulation Charges in the US
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Jury Finds One Former Nomura Trader Guilty, Acquits Another in RMBS Fraud Case
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FINRA Promises To Take Tougher Stance With Rogue Brokers
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Institutional Investor is Lead Plaintiff In Securities Case Claiming $300M in Shareholder Losses
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FINRA Claims That It Can’t Stop Firms From Hiring High-Risk Brokers
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US Supreme Court Restricts SEC’s Ability to Recover Monies Made from Illegal Conduct
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Updated:
Bank of America Unit Settles Auction-Rate Securities Fraud Lawsuit by Tutor Perini for $37M
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Updated:
Despite Bankruptcy and Massive Losses, Traders Are Still Selling Puerto Rico Bonds
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Two Former State Street Executives to Plead Guilty in Institutional Investor Fraud Involving Billions of Dollars of Trades
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Financial Representative Misconduct: Rep. Who Didn’t Disclose $100M in EB-5 Investment Sales is Barred From Securities Industry, Ex-Stifel, Nicolaus Broker is Suspended & Fined For Variable Annuity Violations, and Former Advisor is In Trouble Over Alleged Breaches Involving Senior Investors Accounts
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Former Sterne Agee Broker Pleads Guilty to Securities Fraud Involving NY Pension Fund
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NY Man is Charged in $70M Investor Fraud
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Securities Cases: David Lerner Associates Settles Nontraded REIT Sales for $700K, RBS Resolves Investor Lawsuit, and HSBC Holdings Settles More Libor Rigging Claims
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Updated:
BNP Paribas Settles NY Currency Rigging Investigation for $350M
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Updated:
Judge Stops $16 Million Interest Payment on COFINA bonds in Puerto Rico Bankruptcy
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Updated:
More Pro Athletes Victimized by Fraud
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Securities Fraud Cases: Ponzi Scam Operator Sentenced to Prison, Fund Manager Pleads Guilty, Ex-Options Trading Instructor Allegedly Misappropriated Investor Funds, & $1.7M Financial Scam Leads to 10-Years Behind Bars
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Updated:
Massachusetts Hedge Fund Manager Faces Criminal and Civil Fraud Charges Over Alleged Multi-Million Dollar Ponzi Scam
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Updated:
Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back
:
Updated:
Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct
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Updated:
Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securities
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Updated:
SEC Stops $22M Texas-Based Securities Scam
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Updated:
Ex-Hedge Fund Manager Pleads Guilty to $9M Investment Scam that Defrauded Investors Nearing Retirement
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Updated:
Ex-Nomura Head Traders Charged With Securities Fraud
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Updated:
Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico
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Updated:
Court Upholds Ambac Assurance to Higher Burden of Proof in MRBS Fraud Case Against Countrywide
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Updated:
Ex-Essex Holdings CEO Gets 15 Years For $33M Ponzi Scams
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Updated:
Insider Trading: SAC Capital Advisors Settles with Investors, Former Portfolio Manager Seeks New Trial, and Jury Convicts Ex- MLB Player
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Updated:
Texas Securities Fraud Cases by Investment Promoters Lead to Civil and Criminal Charges
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Hedge Funds Under Investigation Over Bond Valuations
:
Updated:
SEC Cases: Barclays Will Pay $97M for Overcharging Clients, Regulator Accuses Ex-Staffer of Securities Fraud, Whistleblower is Awarded Over $500K, and Two Chinese Citizens Face Penny Stock Scam Allegations
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Securities Cases: Verto Capital Settles Life Settlement Charges, Couple File Broker Fraud Claim Against NY Life Securities, JCPenny to Settle Texas Class Action Lawsuit for $97.M, & Cetera Admits to Charging Investors More For Mutual Funds
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Massachusetts Fines LPL Financial $1M For Advisers’ Alleged Misrepresentations, Failure to Disclose Commissions
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Updated:
UBS and Credit Suisse Settle Mortgage-Backed Securities Cases With for $445M and $400M, Respectively
:
Updated:
Puerto Rico Files for Title III Bankruptcy Protection
:
Updated:
Bondholders and Hedge Funds Sue Puerto Rico After Litigation Stay Expires
:
Updated:
SEC Orders Barclays to Pay Over $16.5M Over Alleged RMBS Fraud by Former Traders
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Securities Cases: BlackRock Fund Advisers To Pay $1.5M Over ETF Violation, Wilson-Davis Resolves Market Structure Rule Violation Allegations, & CFTC Adds 71 Foreign Entities to RED List
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Updated:
Securities Cases: Texas Woman Accused of Bilking 35 Investors, Ex-NJ Investment Adviser is Found Guilty of Fraud, and Insurance Agent Pleads Guilty in $8.2M Promissory Note Scam
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Securities Crimes: Trader Jesse Litvak is Sentenced to Prison for MBS Fraud—Again, North Carolina Who Bilked NFL Players Will Serve Prison Time, and Ex-Stockbroker Gets Jail Time and Must Pay $3.5M to Investors
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Updated:
Securities Fraud: FINRA Bars Ex-UBS Broker, Imprisoned Former LPL Financial Broker Faces SEC Charges, and SEC Refiles Unregistered Securities Fraud Case
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SEC Insider Trading Cases Lead to Civil Charges, Frozen Brokerage Accounts, and Restitution
:
Updated:
FINRA Files Complaint Against Ex-Broker Over Variable Annuity Sales to Elderly Customers
:
Updated:
SEC Files Broker Fraud Charges Alleging Unsuitable Investments Involving Exchange Traded-Funds and Exchange Traded-Notes
:
Updated:
Whistleblower Awarded Almost $4M by SEC
:
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Securities News: Deutsche Bank Fined $157M For Violating Volcker Rule, CFTC Charges Couple With Hedge Fund Fraud, & SEC Accuses Oil and Gas Promoter of Inflating AUM
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Securities Fraud: Former Merrill Lynch Broker Admits to Bank Fraud of More than $8M, Theranos Investors Claim Company Threatened Bankruptcy if Sued, & Arkansas Retirement System’s Pension Fund Agrees to More than $28M Settlement
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SEC Charges Texas Oil and Gas Promoter With Securities Fraud
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SEC Investigates Statim Holdings After Hedge Fund Investors Are Promised They Won’t Lose Any Money
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SEC Investigates Statim Holdings After Hedge Fund Investors Are Promised They Won’t Lose Any Money
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Securities Fraud: Ex-Broker Gets Prison Sentence for $1.2M Elder Financial Fraud, Massachusetts Man Admits to Bilking Neighbors, & More Than Two Dozen 27 Parties Under Fire Over Alleged Stock Promotion Scams
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Updated:
Raymond James to Pay $150 Million Settlement Involving Alleged EB-5 Investment Fraud
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Broker Fraud: FINRA Arbitration Panel Awards Investor $1M After Misleading Variable Annuities Sales Pitch, Broker-Dealer Owner Gets Prison Sentence in $100M Stock-Loan Scheme, & Fugitive Broker is Arrested After 20 Years On the Run
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Swaps Interest Rate Cases: FHLBNY Settles With Lehman Brothers for $70M & Banco Santander and Portugal Come to An Agreement
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Swaps Interest Rate Cases: FHLBNY Settles With Lehman Brothers for $70M & Banco Santander and Portugal Come to An Agreement
:
Updated:
Austin Oil and Gas Financiers Plead Guilty in Texas-Based Securities Fraud Case
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Updated:
Puerto Rico Debt: Creditor Sues Bank of New York Mellon Over COFINA’s Revenue and Pension Participants File Lawsuit to Stop Island’s Proposed Fiscal Plan
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Morgan Stanley to Pay Massachusetts $1M to Settle Charges Alleging Unethical Sales Contests Involving Brokerage Customers
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PREPA and Its Bondholders Arrive at Deal to Restructure Almost $9 Billion in Puerto Rico Debt
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Municipal Bondholders Sue Bank of Oklahoma Financial
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Securities Cases: SEC Fines Credit Suisse $8M Over Improper Investments, $5M Investment Fraud Case Leads to Guilty Plea, and Florida Man is Ordered to Pay Back Investors $2.9M
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Updated:
Retired San Antonio Spurs Star Tim Duncan’s Ex-Financial Adviser Pleads Guilty To Texas Securities Fraud
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Updated:
Federal Judge Orders Wells Fargo to Face Institutional Investors’ MBS Fraud Lawsuits
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CFTC Cases: Ex-Citigroup Global Markets Traders Settle Spoofing Charges and Vision Financial Partners to Pay Over $6.5M in Off-Exchange Binary Options Fraud Case
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Updated:
UBS Financial Services Ordered to Pay Many Millions to Another Investor For Puerto Rico Bond And Closed-End Fund Losses
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Securities News: Deutsche Bank Unit Ordered to Pay $150M for Libor Rigging, FINRA Bars Broker Indicted in NY Pension Fund Scam, and Hedge Fund Manager Who Lost Investors’ Money In Madoff Ponzi Scam Commits Suicide
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Updated:
Pastor Faces Affinity Fraud Charges Alleging that He Bilked Retirees, Church Members, & Laid-Off Auto Workers
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Updated:
Stronger Enforcement of Civil Penalties Act Seeks To Raise SEC Enforcement Penalties
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Updated:
SEC Uses Restraining Order Against Chicago-Based Investment Adviser, Alleges Massive Senior Fraud
:
Updated:
Indiana Public Retirement System’s Institutional Investor Fraud Case To Be Heard by US Supreme Court
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MBS Fraud Cases: Wells Fargo, Deutsche Bank AG, and Royal Bank of Scotland Reach $165M Class Action Settlement, Bank of NY Mellon Ordered to Face $1B Lawsuit Brought by Commerzbank, and Judge Says Royal Park Must Better Define “Class” in Securities Case
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Securities Fraud: RIA and Broker Will Go to Prison Over $15M Scam, Ohio Financial Adviser Pleads Guilty in Senior Financial Abuse Case, and SEC Wants Ex-Financial Investment Broker Barred
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Dallas Financial Adviser Indicted in $3M Texas Investment Fraud
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FINRA Headlines: Dawn Bennett Loses $1M Gold ETF Claim, Regulator Bars NJ Broker-Dealer, and Investors Are Warned About Binary Options Follow-Up Fraud
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US Attorney’s Office Charges Two Ex-China Medical Technologies Executives in $400M Securities Fraud
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Updated:
Rhode Island Investment Adviser Goes To Prison Over $21M Ponzi Scam
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Insider Trading Cases: Ex-Oppenheimer Adviser Sentenced to Six Months, Las Vegas Sports Gambler is on Trial, and SEC Files Civil Case Against Ex-Home Security Guard
:
Updated:
Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losses
:
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Securities News: SEC Orders Voya to Pay $3.1M For Not Disclosing Mutual Fund Sale-Related Payments, FINRA Bars Ex-Waddell & Reed Broker, and Alabama Pension Fund Loses Millions in Ponzi Scam
:
Updated:
Aegis Capital Under Investigation by FINRA, FINCEN and SEC
:
Updated:
SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies
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Updated:
Wells Fargo Advisors Must Pay $357K Securities Arbitration Award Over Unsuitable Investments
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Securities Fraud: Ex-BB & T Securities is Suspended Over Unauthorized Private Securities Sales, Fired Merrill Lynch Broker is Fined for Accepting Customer Gifts, Louisiana Investment Adviser is Convicted in $9.5M Scheme, & Jury Issues First Criminal Municipal Bond Issuance-Related Conviction
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Investors File Nontraded REIT Fraud Lawsuit Accusing Nicholas Schorsch And Others of Stealing from RCAP
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Securities News: Tax Reporting Mistake Costs Morgan Stanley $70M, SEC Accuses Trading Firm & Broker-Dealer of Manipulation, Layering Schemes, and RD Legal Capital’s Hedge Fund is Accused of Targeting Injured NFL Players & 9/11 Responders
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Texas Securities Fraud: San Angeleno Man Goes to Prison over $900K Investment Scam, Jury Convicts Houston Couple For Bilking California Bank, and Dallas Twins Go to Jail Over Ponzi Scam
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Defendants Convicted of Ponzi Scam That Touted Loans to Professional Athletes Are Sentenced to Prison
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Hedge Funds Pursing More than $3B From PriceWaterhousCoopers in MF Global Lawsuit
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Dallas, TX Man Pleads Guilty in $131M Broker Fraud Case
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Updated:
SEC Charges Chinese Citizens Over Alleged $29M Insider Trading Tied to Comcast-DreamWorks Acquisition
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Updated:
Elder Financial Fraud: Ex-K.C. Ward Financial Rep. Barred Over $15M in Unsuitable Investments
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Oceanografía Sues Citigroup, Claims Alleged Multi-Million Dollar Fraud at Banamex
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Criminal Securities Fraud: Ex- CEO Extradited From Namibia is Sentenced to 30-Months, Long Island “Mini Madoff’s Associate Goes to Prison Over $400M Scheme, and the Trial of Two Ex-Barclays Traders is Underway in the UK
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Securities Cases: Broidy Wealth Management Advisors Founder Pleads Guilty to Fraud, Bondholders File Arbitration Claim Against BOK Financial, and SEC Files Complaint in $5M Pyramid Scam
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As General Obligation Bondholders Get Go Ahead on Their Bond Fraud Case Against Puerto Rico, COFINA Creditors Seek to Intervene
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Updated:
Institutional Investor’s CDO Fraud Case Against Patriarch Partners, Lynn Tilton to Proceed
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Institutional Investor’s CDO Fraud Case Against Patriarch Partners, Lynn Tilton to Proceed
:
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FINRA Orders UBS to Pay Shepherd, Smith, Edwards & Kantas Client $9 Million Over Puerto Rico Municipal Bond and Fund Investment Losses
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Following $586M Settlement, Western Union is Now a Defendant in Class Action Securities Case
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Updated:
New AARP Study Says Older Investors Involved in Unregulated Investments May Be at Higher Risk of Becoming Fraud Victims
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Purshe Kaplan Sterling Investments Must Pay Native American Tribe $3.4M Over Excessive Sales Charges Involving Nontraded REITs and BDCs
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Dallas Investment Firms Charged with Texas Securities Fraud in Alleged Ponzi Scam
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Updated:
SEC Cases: Man Who Claimed to Be Real Estate Manager to Pay over $500K and Fuel Cell Company Executives Face Criminal and Civil Charges Over Investor Fraud
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Updated:
Self-Dealing Allegations: New York Life Settles 401(K) Case for $3M & Lawsuit Against T. Rowe Price Claims Plan Participants Paid $27M More in Fees
:
Updated:
Texas Securities Fraud Leads to Expulsion for Red River Securities and $24.M in Investor Restitution
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Securities Cases: LPL Financial Fined $900K for Record-Keeping Issues, NY-Based Broker Deal to Pay $100K for Trading Surveillance and Compliance Failures, and Private Equity Adviser is Barred Over Improper Fund Withdrawals
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Updated:
Morgan Stanley to Pay $8M To Settle Exchange Traded-Fund Investment Charges
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CFTC Orders Citigroup to Pay $25M for Spoofing, Supervisory Failures
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Securities Fraud: Prison Sentence Issued in $39M Ohio Penny Stock Scam, SIPC Warns About Fraud Invoking Its Name, & Investors Sue Banc of California
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Updated:
Ex-Financial Adviser To Mike Tyson, Glen Rice, and Dikembe Mutombo Pleads Guilty to Criminal Fraud
:
Updated:
SEC Charges Connecticut RIA with $3.95M Fraud, Ex-Morgan Stanley Financial Adviser with $5M Securities Scam
:
Updated:
Benchmark Fixing: Former Deutsche Bank & Barclays Traders Plead Not Guilty to Euribor Rigging and Royal Bank of Scotland Will Pay $85M Penalty to Settle US ISDAFIX Manipulation Allegations
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Connecticut Investment Bank Ordered to Pay Elderly Investors $1.25M & New Study Shows Older Investors With Mild Impairment May Be Vulnerable to Fraud
:
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Aon Hewitt Accused of Kickback Scam with Financial Engines in 401(K) Lawsuit
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Aon Hewitt Accused of Kickback Scam with Financial Engines in 401(K) Lawsuit
:
Updated:
Puerto Rico Defaults on More Debt Payments
:
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Securities Cases: NY/NJ Port Authority Accused of Not Disclosing Municipal Bond Risks, FINRA Expels Lawson Financial for Fraud, and SEC Brings More FCPA Violation Charges
:
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Criminal Cases: Hedge Fund Manager is Sentenced for Bilking Veterans of $1.8M, Charges Brought Over $81M Ponzi Scam Involving Hamilton Tickets, and Indictment in $17M Ponzi Scam is Dropped
:
Updated:
Deutsche Bank Fined $630M Over $10B in Bogus Trades That May Have been Tied to Russian Money Laundering
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Securities Fraud Cases: Ex-Jefferies Bond Trader is Convicted Again, RBS Puts Aside $3.92B for Expected Mortgage-Backed Securities Fraud Settlement, and Judge Won’t Overturn Jury’s Findings In Miami Municipal Bond Fraud Case
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SEC Cases: Citigroup to Pay $18.3M for Overbilling Clients, Strategic Capital Management is Banned Following $1.3M Cherry Picking Scam, & 10 Investment Advisory Firms Settle Pay-to-Play Violation Charges Involving Pension Fund Fees
:
Updated:
JPMorgan and Schwab Are Sued in 401(K) Lawsuits
:
Updated:
Windsor Street Capital Charged in Connection with Pump-and-Dump Scam
:
Updated:
SEC Issues $7M Whistleblower Award
:
Updated:
Citigroup and Morgan Stanley to Pay Over $5.9M to Settle SEC Charges That They Misled Investors About Forex Trading Program
:
Updated:
Residential Mortgage-Backed Securities Cases: Société Générale Settles US Government’s Securities Fraud Case for $50M & Judge Rules that Institutional Investor Fraud Lawsuit Against Deutsche Bank May Proceed
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Updated:
MC2C Capital Accused of Ponzi Scam, Hedge Fund Fraud
:
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State Street to Pay Over $64M to Settle US Probes Over Secret Fees Charged to Institutional Clients
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Updated:
Securities Fraud: Jury Convicts Former Visium Portfolio Manager, Boston-Ex-Hilliard Lyons Broker Accused of Unauthorized Trades is Barred by FINRA, and Utah Businessman is Charged with Bilking Investors In $100M Ponzi Scam
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Updated:
BlackRock and HomeStreet Are Accused of Trying to Impede Potential Whistleblowers
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Deutsche Bank and Credit Suisse Finalize Securities Mortgage Securities Fraud Settlements with the DOJ Are Now Final and JPMorgan Resolves for $55M Case Accusing Bank of Working With Racist Brokers
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SEC Cases: Morgan Stanley to Pay $13M for Custody Rule Violations and Overbilling Clients, BNY Mellon to Settles Allegations of Reported Miscalculations By Paying $6.6M, and Citadel Securities to Pay $22M for Purportedly Misleading Clients About Pricing Trades
:
Updated:
Moody’s Corp. Settles With US Government, States Over Pre-Crisis Mortgage Securities Ratings for Almost $864M
:
Updated:
UBS Ordered to Pay Another $18M in Puerto Rico Bond Fraud Case
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Updated:
Pension Fund Lawsuit Against Volkswagen is Allowed to Proceed
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Puerto Rico Bond Cases: 1st Circuit Revives Pension Fund Lawsuit & FINRA Arbitration Panel Orders Oriental Financial Services and Santander Securities to Pay Over $808K
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Updated:
Securities Fraud Cases: Connecticut-Based Investment Adviser Settles Fraud Charges that Allegedly Involved Secret Referral Fees, Jefferies Bond Trader’s Second Criminal Fraud Trial is Underway, Former Barclays Trader Gets 5-Month Prison Term in Insider Case
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Updated:
President-Elect Trump’s SEC Chief Pick Has Strong Ties to Big Banks
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Hedge Fund Fraud: SEC Partially Overturns Ruling Against Investment Adviser But Raises Amount He Owes & Jury Selection Begins in Former Visium Fund Manager’s Bond Fraud Case
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SEC Charges NY-Based Brokers with Fraud, Excessive Trading
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Ex-MF Global CEO Jon Corzine Settles Securities Fraud Case Brought by the CFTC for $5M
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Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley
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SEC Awards Whistleblower $5.5M
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Ex-Jefferies Group Bond Trader Gets Another Trial in RMBS Fraud Case
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Halliburton to Pay $100M to Settle Securities Fraud Class Action Lawsuit Originally Brought in Dallas
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Refusal to Testify Before Finra Over Securities Allegations Lead to Industry Bars for Former Merrill Lynch, RBC Capital Markets, and JP Morgan Brokers
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SEC Cases: IT Specialist Settles Insider Trading Charges For Over $375K, San Francisco Firm Pays $80K for Unregistered Swaps Sales Involving Pre-IPO Companies, and EB-5 Fraud Cases Lead to Settlement for Florida Businessman and Civil Charges For California Lawyer
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$335M Mortgage-Backed Securities Settlement for PSERS, Other Institutional Investors is Approved in Class Action Lawsuit Against Bank of America
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Securities Fraud: Two Indiana Men Are Charged with Running Ponzi Scam, NY Investment Adviser Gets Five-Year Prison Sentence for $1.725M Scam, and Illinois Investment Firm Owner is Ordered to Pay $270K in Restitution
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Braskem, Teva Pharmaceutical, and General Cable Corp. Settle FCPA Charges for $957, $519M, and $75M
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UBS Broker is Fired Over Outside Business Activities
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SEC Files Microcap Fraud Cases Alleging Fake IPO-Related Penny Stock Sales
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Merrill Lynch, UBS, & Morgan Stanley Are Among Firms Ordered to Pay Investors Approximately $30M Collectively Over Puerto Rico Bond Fund Losses in 2016
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Ex-NY Pension Fund Portfolio Manager and Broker are Criminally Charged in Alleged $2B Pay-to-Play Scam
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Mortgage Fraud Settlements Reached With Deutsche Bank for $7.2B, Credit Suisse for $5.3B
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Texas Ponzi Scams: Oil Co. Owner Is Indicted by a Federal Grand Jury, CEO of Texas First Financial is Charged in Internet-Related Fraud, and Texas REIT United Development Funding Remains in Trouble
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CFTC Orders Convergent Wealth Advisors Ordered to Pay $800K Securities Fraud Fine
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Whistleblower Cases: SEC Issues Almost $1MK Award to Another Tipster, JPMorgan is Defendant in IRS Whistleblower Case Involving Pension Funds, and Prudential Stops Selling Certain Term Life Insurance Policies Through Wells Fargo Following Employees’ Lawsuit
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FINRA Fines 12 Firms, including RBS Securities, Wells Fargo, and LPL Financial $14.4M for Record Preservation-Related Violations
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Morgan Stanley Settles Margin Account-Related Violations with FINRA & The SEC for $10.3M
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SEC Files Charges Against Operators of Bogus Day Trading Firm that Bilked Inexperienced Investors Globally of Over $1.4M
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Securities Fraud: Former California Financial Adviser Who Worked For Texas Brokerage Firm is Barred After Bilking Professional Athletes of $2M, FINRA Fines Allstate Financial Services $1M for Inadequate Supervision, and Former Registered Investment Adviser Settles Cherry Picking Scam for $328K
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Platinum Funds and Founder Mark Nordlicht Accused of $1B Ponzi Scam that Allegedly Bilked Over 600 Hedge Fund Investors
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Goldman Sachs Pays $120M Penalty to Settle USD ISDAFIX Rigging Allegations
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Mid Atlantic Capital Ordered to Pay Couple $922K Over KBS-Sponsored NonTraded REITs, Sonoma Ridge Partners Private Placement and Exchange-Traded Fund Investments
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Deutsche Bank Ends Dark Pool Probe with $37M Settlement to the NY AG and the SEC, as well as a $3.25M Fine to FINRA
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FINRA Bars Ex-JP Turner Broker For Elder Financial Fraud
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Criminal Securities Fraud: Former Train Babcock Financial Adviser Pleads Guilty In $1.6M Family Trust Theft, Prosecutors Go After Former Cantor Fitzgerald Trader for RMBS Fraud, & Two NJ Traders Are Charged in $26M Stock Rigging Case
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Former LPL Financial Adviser/North Carolina Broker Is Sentenced in $1.4M Ponzi Scam
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$11B RMBS Fraud Lawsuit Against Credit Suisse to Proceed
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Prudential Stops Selling My Term Life Insurance Policies Through Wells Fargo
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Massachusetts Regulator Accuses Broker-Dealers of Not Properly Supervising Rogue Brokers
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SEC’s Whistleblower Office Awards Another $3.5M to Tipster
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FINRA Anti-Money Laundering Cases Render Huge $1M Fine for Wells Fargo and $16.5M Fine for Credit Suisse
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Massachusetts Regulator Sues LPL Financial Over Broker’s Alleged Variable Annuity Abuses Involving Retirees
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UBS Ordered To Pay More Than $18 million in Puerto Rico Closed-End Bond Fraud Arbitration Award
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US Supreme Court Issues Ruling that Impacts The Definition of Insider Trading
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FINRA Orders Merrill Lynch to Pay $7M, Including $780K in Restitution to Customers that Invested in Puerto Rico Securities
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SEC Charges Onix Capital and Its Owner With $5.7M Promissory Note Fraud
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PIMCO Agrees to Pay Almost $20M to Settle SEC Charges That It Misled Exchange-Traded Fund Investors
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SAC Capital Advisers Concludes Final Insider Trading Case By Agreeing to Pay $135M to Elan Corp. Investors
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UBS Ordered to Pay Older Couple $700K Over Puerto Rico Bond Sales While Institutional Investors Continue Lawsuits in Puerto Rico Over Investment Losses
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Houston-Based Valic Financial Advisers Settles Variable Annuities Case Involving Alleged Conflicts for $1.75M
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Securities News: Goldman Sachs to Settle Reno’s Auction Rate Securities for $750K, SEC Demands Remaining $5.4MFine Owed By Maine Developer, & a Federal Judge Rules in Jay Peak Resort EB-5 Case
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Securities Cases: Minnesota Adviser Goes to Prison Over Ponzi Scam, Ex-Morgan Stanley Broker Accused of soliciting $2.7 M from Elderly Investors After He is Barred from the Securities Industry, and 808 Renewable Energy Faces Fraud Charges
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Mortgage-Backed Securities News: Former Standard & Poor Executive On Trial in SEC Case Over Mortgage Bond Ratings & Royal Bank of Scotland and Nomura Try to Overturn $839M MBS Fraud Ruling
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Ally Financial Will Pay $52M To Settle RMBS Fraud Allegations Involving Subsidiary ResCap
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Securities Fraud Cases: VFG Securities Settles With FINRA Over Nontraded REIT Sales, Massachusetts Seeks To Ban Trader and His Software Company, and Utah Man Who Bilked Over 5,700 in $25M Fraud Gets Prison Sentence
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Tutor Perini’s $50M Auction-Rate Securities Lawsuit Against Bank of America is Revived
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Edward Jones is Sued Over 401(K) Excessive Fees—Again
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Edward Jones is Sued Over 401(K) Excessive Fees—Again
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FINRA Orders Oppenheimer to Pay $3.4M Penalty For Alleged Reporting Failures and Not Giving Discounts to Mutual Fund Clients
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JPMorgan Chase Agrees to Pay Over $264M to Resolve Foreign Corrupt Practices Act Charges
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Broker Fraud Cases: Former Newbridge Securities Broker Pleads Guilty in $131 Market Manipulation Scheme and FINRA Bars LPL Financial Broker for Depositing Client Funds Into His Own Account, and Lincoln Financial Securities is Fined $650K for Not Protecting Client Information
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Securities Fraud: CFP Board Suspends California Investment Adviser for Bilking Professional Athletes, SEC Orders Israeli-Based Firm to Pay $1.7M for Misleading Investors About Binary Options, and Ex-Movie Producer is Accused of Bilking Hedge Fund Investors
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SEC Awards Whistleblower $20M
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Texas-Based Broker-Dealer Accused of Harming Elderly Massachusetts Investors Via High-Pressure Sales Tactics
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Day Trader Pleads Guilty to Fraud in 2010 Flash Crash
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FINRA Complaint Accuses Dawn Bennett Of Not Testifying in Fraud Probe Involving Her Clothing Company
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401K Record Keeper is sued Over Financial Engine’s Alleged Pay-to-Play Scam
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Investors of $7.7B NovaStar Mortgage-Backed Securities Can Move Forward with Fraud Claims Against Wells Fargo, Deutsche Bank, and RBS Securities
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SEC Says Triad Advisors and Securities America Advisors May Have Charged Clients For Mutual Fund with 12b-1 Fees Even Though There Were Less Costlier Options
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FINRA Says Former MML Investors Services Broker Bilked Older Couple in Senior Fraud
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UBS Financial Services to Pay Investor Almost $1M in Puerto Rico Closed-End Bond Fraud Case
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Aozara Bank’s Mortgage-Backed Securities Case Against JPMorgan is Allowed to Proceed
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Goldman Sachs Settles Securities Fraud Lawsuit Over Abacus CDO
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Energy Company Cases: Arizona Corporation Commission Orders Texas Man to Pay $1.4M, Two Other Companies to Pay $11.2M in Restitution to More than 700 Investors, & SEC Files Stock Manipulation Charges Against Multiple Individuals
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SEC Probes Wells Fargo Over Allegations of Violations Involving Whistleblower Protections and Investor Disclosures
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Nomura To Pay Over $3M to Settle RMBS Fraud Claims brought by NCUA for Credit Unions
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Voya Financial Advisors, Cetera Advisors, and Six Other Broker-Dealers to Pay $12.5M in Fines and Restitution For Allegedly Not Properly Supervising The Sale of L-Share Variable Annuities
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Massachusetts Regulator Charges Ex-Investment Adviser Over $500K Ponzi Scam
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CFTC Cases: IB Capital Fx Ordered to Pay Over $35M in Restitution For Soliciting Investors While Improperly Registered, $21.8M Default Judgment Obtained in Commodity Pool Fraud, and Spoofing Case Leads to Over $38M in Monetary Sanctions
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American Capital REIT is Accused of Charging Hundreds of Millions of Dollars in Excessive Fees
:
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Estate of Bernie Madoff’s Friend to Pay Trustee Irving Picard Over $262M
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Hedge Funds with Puerto Rico Revenue Bonds Want Court to Delay General Obligation Bondholders’ Lawsuit
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SEC Adopts Final Rules to Modernize Fund Raising for Intrastate and Regional Offerings, Enhance Information that is Reported by Funds, and Enhance the Effectiveness of Risk Management Programs
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SEC Cases: Embraer Settles FCPA Charges for $205M, Bank Leumi is Charged with Engaging Unregistered US Cross-Border Business, and Lime Energy Company and Executives Settle Accounting Fraud Charges
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Updated:
FINRA Bans Dallas Broker For Recommending Ponzi Scheme to Investors
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Updated:
Ex-Oppenheimer Broker Pleads Guilty in Insider Trading Case
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Updated:
Deutsche Bank Settles Silver Rigging Allegations for $38M
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Updated:
DOJ to Sue Moody’s Over Mortgage-Backed Securities
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Securities Cases: Merrill Lynch Ordered to Pay $2.8M for Supervisory And Other Violations, Ernst & Young Agrees to Pay $11.8M for Failed Audits, and Ex-Morgan Stanley Client Administrator is Suspended Over Fraudulent Wire Transfer
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Updated:
FINRA Warns Investors to Be Careful When Considering Public Non-Traded Real Estate Investment Trusts
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Updated:
Texas REIT Gets SEC Wells Notice as Nasdaq Delists Its Shares
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Updated:
Wells Fargo, Deutsche Bank, and Neuberger Berman Grapple with 401K lawsuits
:
Updated:
Artis Capital Management Accused of Not Preventing $6M Insider Trading
:
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FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer’s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments
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SEC Cases: Och-Ziff Hedge Fund Settles FCPA Violation Charges for $413M, Employee is Accused of Insider Trading Prior to Drug Announcement, and Company Pays Fine After Firing Whistleblower
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Updated:
Forcerank Will Pay $50K Fine for Illegally Offering Security-Based Swap Offering to Retail Investors
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Updated:
Deutsche Bank Reaches $9.5B Settlement With the SEC For Not Properly Safeguarding Information
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Updated:
Hedge Funds Holding Puerto Rico General Obligation Bonds File Lawsuit
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San Francisco Hedge Fund Files Securities Fraud Lawsuit Against Blood Testing Company Theranos
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RBS Securities Settles MBS Fraud Case With Connecticut for $120M
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Texas Securities Cases: IMS Securities to Pay $100K Over Variable Annuity Exchanges, State Regulator Bans Broker from Making Nontraded REIT Recommendations, and Former Dallas Billionaire Sam Wyly to Pay $198M To Settle Fraud Case
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SEC News: Regulator Proposes Amendment For Settling Securities Transactions, Adopts Rules to Improve Regulatory Framework for Clearing Agencies, Gives Authorities Access to Information from Security-Based Swap Data Repositories, and Enhances Investment Adviser Requirements for Providing Information
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Updated:
Investors Capital To Pay $1.1M Over UIT Sales
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Updated:
Securities Cases: Hawaii-Based Investment Adviser is Accused of Cherry-Picking Trades, Broker Ordered to Pay $600K for Elder Financial Fraud, and FINRA Bars Ex-Axa Advisors Broker
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Updated:
U.S. Supreme Court Hears Insider Trading Case
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Updated:
Credit Suisse Settles for $90M Allegations that It Misrepresented Performance Metric
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Updated:
Oil Company Wants SEC’s Texas Fraud Case to Go to Trial
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Morgan Stanley Charged by Massachusetts for Running Allegedly Unethical Sales Contests
:
Updated:
UBS Financial Services to Pay Over $15M to Settle Charges Related to the Sale of Reverse Convertible Notes to Retail Investors
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Updated:
Former ARCP CFO Pleads Not Guilty to Criminal Securities Fraud Charges
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SEC Accuses Peruvian Traders of Insider Trading, Charges Anheuser Busch InBev with Whistleblower Protection and FCPA Rule Violations, and Orders an Oil Services Company to Pay $140M Over Accounting Fraud Allegations
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SEC Accuses Pennsylvania Broker of $3.2M Securities Fraud Involving 120 Investors
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Updated:
RBS Will Pay NCUA $1.1B in Mortgage-Backed Securities Probe
:
Updated:
The Puerto Rico Retirement System Sues UBS Over Municipal Bonds While 31 Investment Funds and Scotiabank Sue the Territory in Separate Lawsuits
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SEC Files Charges in Alleged Microcap Fraud
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Merrill Lynch Ordered to Pay $12.5M to the SEC and $3M to Six Exchanges Over Mini-Flash Crashes
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Ex-Investment Adviser and Talk Show Host Once Again Takes Industry Ban Against Him to the Appeals Court
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FINRA Expels DT Securities and Its CEO Over Alleged Private Placement Misrepresentations
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SEC Charges Ex-Microcap CEO and Boiler Room Operator in $20M Penny Stock Fraud to Bilk Senior Investors
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Updated:
Aozora Bank Asks NY Appeals Court to Revive $1.5B CDO Fraud Case Against Credit Suisse
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FINRA Sanctions Avenir Financial Group For Fraud
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US Appeals Court Revives JPMorgan Whistleblower’s Lawsuit
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Hedge Fund Manager Faces SEC Charges For Insider Trading
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Updated:
Broker Who Stood To Inherit 91-Year-Old Customer’s Condo is Barred by FINRA
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SEC Cases: Blank Check Maker is Accused of Fraud, Alleged Scam Involving Company That Makes Containers to Grow Marijuana Faces Civil Charges, & Retail CEO and Promoter Accused of Fraudulent Marketing Campaigns
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SEC Awards Whistleblower $4M
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Deutsche Bank and DOJ Still In Negotiations Over Mortgage-Backed Securities Case
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Updated:
Man Who Ran Pump-And-Dump Scam Linked to Notre Dame’s “Rudy” Gets Prison Term
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Updated:
Voya Sued in 401(K) Lawsuit, is Accused of Partaking of Investment Advice Fee Charge
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Ameriprise Ordered to Pay $85OK After One of Its Brokers Bilked His Family
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UBS Ordered To Pay Three Investors $750K in Puerto Rico Bond Fraud Case
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Securities Fraud News: Another Hedge Fund Shutters, Telecom Company to Pay $1.25M for Disclosure Failures, and SEC Orders Stock Trader to Pay $1.5M Over Fraud Charges
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Securities Regulator News: NASAA Offers Guide to Protecting Senior Investors and other Vulnerable Adults, States Disclose 2015 Enforcement Statistics, and SEC to Scrutinize Firms With Rogue Brokers
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Securities Violations: Raymond James and Robert W. Baird to Pay Fines For Alleged Wrap Fee Compliance Failures, RBC Agrees to Pay $2.5M Over Proxy Statement Disclosures, and Ex- ARCP Accounting Executives Are Accused of Overstating REIT’s Performance
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Ex-Financial Adviser of Former NBA Star Tim Duncan is Arrested in Texas
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BOK Financial to Pay More Than $1.6M Over Allegations Related to Municipal Bond Scam
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Updated:
Ex-MF Global Chief Jon Corzine and CFTC Arrive At Tentative Settlement
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Updated:
US Considers Filing Criminal Charge Against HSBC Holdings PLC Unit that May Void Deferred Prosecution Deal
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SEC Bans Andrew Caspersen After $38M Financial Fraud
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President Obama Appoints Federal Control Board Members to Deal With Puerto Rico’s Debt Crisis
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Ex-Madoff Aide Will Help Picard Find Funds Stolen in Ponzi Scheme
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Logos Wealth Financial Advisers is Accused of Fraudulently Raising Over $14M from Investors
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Securities Fraud Headlines: Caldwell International to Pay $2M Over Churning Allegations, Alabama Lawyer Allegedly Bilked Professional Athletes, and a Green Tech Company Faces Investor Fraud Charges
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California Lawyer Goes to Prison for Securities Fraud
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Securities News: Ex-Fannie Mae CEO Settles Mortgage Fraud Case, WL Ross to Pay Back $11.8M to its Funds, SEC Chastises Bank of America For Not Explaining COO’s $15.5M Compensation, and Pension Returns Drop
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Elderly Investors Lose Money After Broker Recommends Energy and Gold Stocks
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13 Investment Advisers Pay Penalties Over F-Squared Investment’s False Performance Claims
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MedCapital, Related Companies, and Executives Ordered to Pay $831M of Disgorgement Over Ponzi Scam
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Apollo Global Management Settles Supervisory and Disclosure Failure Charges for $52.7M
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Morgan Stanley and Edward Jones Are Sued in Separate 401(K) Lawsuits
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Two Investors File Securities Arbitration Claim Against Santander Securities Over Puerto Rico Municipal Bonds
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CFTC and FINRA File Charges Against Deutsche Bank Over Swap Data and Information Transmitted Over Squawk Boxes
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Tax Whistleblowers Are Entitled to Award When There Are Civil Forfeitures and Criminal Fines, Rules Court
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Updated:
Mortgage Company President Charged With Defrauding Ginnie Mae
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Ex-Perella Weinberg Partners Managing Director is Convicted of Insider Trading, Giving Tips to His Dad
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Securities Fraud News: Hedge Fund Manager Accused of Securities Fraud Involving Payoffs to the Terminally Ill, SEC Halts Trading in Neruomama Shares, and Commodity Pool Fraud Leads to More than $10M in Penalties and Restitution
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Ex-Goldman Sachs Trader to Pay $400K Fine to Settle RMBS Fraud Case
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UBS to Pay $250K For Not Waiving Mutual Fund Fees
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401(K) Lawsuits Brought Against Franklin Templeton and Neuberger Berman
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Texas Securities Fraud: State Fines The Investment Center and A Local Man Is Accused of Bilking Investors
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San Francisco Investment Manager is Sued Over $2M Hedge Fund Fraud
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SEC Charges Ex-Philadelphia Eagles Football Player With $10M Fraud
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US Attorney Bharara Asks Second Circuit To Reconsider Overthrown Mortgage Fraud Verdict Against Countrywide
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Primus Pacific Partners Sues Goldman Sachs for $510M
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Securities Headlines: FINRA Wants Ex- Merrill Lynch Adviser to Pay Monetary Sanctions Over Misleading Recommendations, Four Life Insurers Must Pay $3.4M Related to Death Benefits, and JPMorgan Settles with Indiana Over Proprietary Products for $95OK
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Fed Orders Goldman Sachs to Pay $36M Fine Over Confidential Documents Leak
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Securities Fraud: Unregistered Representatives Bilk Investors of Over $5M & Go Shopping, Broker to Go to Prison Over $131M Market Manipulation Scam, and an Illinois Man is Convicted in $20M Scheme
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Financial Firm News: Deutsche Bank Ordered to Face Part of Subprime Mortgage Fraud Lawsuit & Morgan Stanley & Bank of America Must Contend with MBS Case
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Updated:
FINRA Files Securities Fraud Charges Against NY Broker For Churning Accounts of Blind, 77-Year-Old Widow
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CFTC Orders Atlantas Group and Its owner to Pay $7.2M in Restitution and Civil Penalties to Settle Solicitation Fraud and False Statement Charges
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Securities News: Citigroup to Pay $7M Over Incomplete Blue Sheet Data, Cetera Fined $75K for Client Record Issue, and Raymond James Settles EB-5 Program Violations for $1.45M
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Puerto Rico Likely To Default on Bond Payments Due on August 1
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Updated:
State Street to Pay $382M for Misleading Clients, Including Mutual Funds, Over Hidden Markups In Foreign Currency Exchange Trades
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SEC Stops $5M Fraud, Ex-Investment Adviser Faces Criminal Charges, Another Pleads Guilty, and a Broker is Barred for Bilking Elderly Customer Through Variable Annuities
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“Weekly” Investments Are Popular With Big Traders But Come With Drawbacks
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Updated:
Hedge Funds Sue Puerto Rico and Its Governor
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SEC Charges Already-Barred Hedge Fund Manager With Fraud
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Updated:
Employees of American Century and New York Life Sue over Excessive Fees with 401(K) Lawsuits
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Updated:
Following Securities Fraud Allegations, Visium Asset Management and Alliance Bernstein Reach Preliminary Sales Deal
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Dallas Cowboy Wide Receiver Sues His Former Texas Investment Adviser for Securities Fraud
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HSBC Executives Are Charged with FX Rigging
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Updated:
Ameriprise Financial Advises Clients to Sell OppenheimerFunds Muni Bond Funds with Puerto Rico Debt
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SEC Advisory Committee Recommends Broadening Accredited Investor Pool
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Prudential Annuities Fined $950K for Not Stopping Broker From Stealing $1.3M from Elderly Customer’s Variable Annuity Account
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Securities Fraud News: Union Pension Funds Settle Class Action Case for $64M, Deadline for Implementing Volcker Rule is Extended, and Ex-Panther Energy Trader Goes to Prison For Spoofing
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Updated:
AOG Wealth Management President Ordered to Pay Couple $331K for Private Placement Investments
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Updated:
Hedge Funds Continue to See Losses
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Updated:
SEC Fines RiverFront Investment Group For Charging Clients Extra Fees
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SEC News: Regulator Approves In-House Enforcement Reforms, Adopts Guidance For Security-Based Swap Transaction Reporting, and Will Audit Financial Advisers Over Mutual Fund Shares
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Updated:
Bill to End Securities Law Exemptions in Puerto Rico Passes the U.S. House
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Updated:
Ex-Prudential Financial and MetLife Broker is Barred over Deceptive MetLife Variable Anuuity Sales
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Updated:
SEC Bars Broker From Industry, Orders Her to Pay $4M for Inflating Firm’s Investment Performance to Bring In Rich Investor Clients
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Four Former Barclays Traders Get Prison Terms for Libor Rigging
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Elder Financial Fraud News: Indiana, Vermont, and Alabama Add New Laws to Protect Older Investors, US House Votes Approval of Senior Safe Act, & Garden State Securities to Pay Damages to Older Clients
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Insider Trading News: Hedge Fund Managers Charged in $32M Scam, Ex-Software Executive and Friends Are Accused of Making Over $500K, and Broker and Friend Allegedly Illegally Traded in Pharmaceutical Stocks
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Goldman Sachs Settles CDO Fraud Lawsuit Brought by Basis Yield Alpha Fund
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Updated:
Rhode Island Investment Adviser to Plead Guilty in $21M Ponzi Scam
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Securities Fraud News: Andrew Caspersen Pleads Guilty to $40M Fraud, Massachusetts Investment Advisor to Pay $8M to Investors, & CFTC Orders Florida Man and His Companies to Pay Almost $175M in Sanctions in FX Ponzi Scam
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Updated:
SEC Fines Texas-Based Investment Advisory Firm for Overcharging REIT Clients
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Updated:
Puerto Rico Defaults on $911M Bond Payment
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Updated:
Raymond James Sued Over $350M Development Fraud, Settles with Vermont for $5.95M
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Updated:
Financial Representative News: Ex-LPL Financial Broker Gets Suspension and Fine & Former Ex-GL Capital Partners CEO is Sentenced to Prison
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Securities Headlines: SEC Announces $17M Whistleblower Lawsuit, Delta Employees File 401(K) Lawsuit Against Fidelity, Blackstone President Says Hedge Funds Could See 25% Asset Loss, and Deutsche Bank is Fined $6M By FINRA
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Updated:
FINRA Accuses Broker of Encouraging Clients to Invest in High-Risk Exchange-Traded Funds Because He Anticipated Financial Turmoil
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Updated:
401K Lawsuits: MassMutual Settles with Employees for $31M and TransAmerica Settles for $3.8M
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Bondholders Sue Puerto Rico As Debt Talks Falter
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Financial Firm Settlements: HSBC Holdings Settles Yen Libor and Euroyen Tibor Rigging Claims for $30M & BNY Mellon to Pay Investors $35M for FX violations
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