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Retiree Couple Says NBT Bank VP & LPL Financial Broker Bret Hartman Unsuitably Recommended XOP Note
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Investors Accuse Purepath Wealth Management Investment Advisor & Crown Capital Securities Broker Dennis Haywood of Making Inappropriate Investment Recommendations
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Brokers May Have Sold Granite Point Mortgage Trust REITs Even When Unsuitable for Investors
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Moody National REIT II Investors May Have Grounds For Stockbroker Misconduct Claims
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Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors
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SagePoint Financial Ordered to Pay Over $1.6M for Early Unit Investment Trust Rollovers That Cost Investors
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$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations
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Nine Energy Service Investors May Have Grounds for Bond Fraud Claims to Recover Losses
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Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19
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Centaurus Financial & JP Turner Brokers Targeted South Carolina & Tennessee Retirees in Structured Products Scam
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Elderly Retiree Claims Sheppard Mosher advisor Jason Mosher Overconcentrated His IRA With GPB Private Placements
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Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses
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Shepherd Smith Edwards & Kantas Investigates Financial Advisors That Recommended AMLP and Other Oil & Gas Master Limited Partnerships
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Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses
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SunTrust Investment Services to Pay $634K For Alleged Inadequate Supervision Of Unsuitable ETF Sales Practices
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Barred Wells Fargo Broker Named in Unsuitable Investment Fraud Case Recently Settled for $995K
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Massachusetts Sues GPB Capital Holdings for Defrauding Investors of Over $14M
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UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses
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Investor Sues Kestra Investment Services For IRA Losses Involving Barred Broker James Daughtry
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Investors Accuse InSight Securities Broker Carlos Legaspy of StockBroker Fraud & Negligence
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Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
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FMS Bonds Accused of Overconcentrating Texas Investor’s Portfolio in Bad Bonds, Including Frontier Communications Investments, Causes $1M in Losses
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Investors of Preferred Stocks Suffer Losses As Market Undergoes Nearly 5% Drop
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Top Warning Signs of Senior Investor Fraud that You Need to Be Aware of
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Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor
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Structured Products Are Not For Everyone In San Francisco. Here’s Why
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Securities Fraud In San Francisco: How You Can Protect Yourself
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Investing In Real Estate Investment Trusts (REITs): What Are They and What Risks Are Involved?
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National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products
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Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns
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Ex-Next Financial Broker Charles Doraine is Barred Following Puerto Rico Bond Fraud Allegations
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David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees
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Timothy Kenska and Citigroup Global Markets Investigated For Securities Fraud
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First Allied Securities Broker William Fox Accused of Making Unsuitable Alternative Investments Recommendations
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COVID-19 Exacerbates High Risks of Collateralized Loan Obligations for Investors
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As United States Oil Fund Plunges 30%, Retail ETF Investors Should Worry About Losses
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Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim
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Shepherd Smith Edwards and Kantas Investigates NAV REIT and Real Estate Interval Funds Sold By Advisor Group
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Shepherd Smith Edwards and Kantas Investigating Claims From LPL Financial Customers Who Invested in Nontraded REITS and Publicly Traded Property Interval Funds
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Tata Arbitrage Fund and ICICI Prudential Among the Arbitrage Funds That Temporarily Shuttered Because of Coronavirus
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Unsuitable Broker Recommendations of Structured Notes, Including Callable Yield Notes and Autocallable Securities May Be Causing Investors’ Losses During COVID-19
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The Top Types of Securities Fraud All Investors Must Know
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Market Volatility Caused by COVID-19 Negatively Impacts Leveraged ETNs & Inverse ETPs
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex-Stifel Nicolaus Broker Steven Rodemer
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Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving Former LPL Financial Broker Mark Lamkin
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Shepherd Smith Edwards and Kantas Continues to Investigate Investor Losses Involving Robinhood Financial Outages Before COVID-19
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Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving VelocityShares 3x Long Crude Oil ETN (UWT)
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Leveraged UBS ETRACS ETNs After COVID-19 Market Crash Causes Investor Losses
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Las Pérdidas en las Inversiones durante el Coronavirus tiene a los Inversionistas Buscando Respuestas
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What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19
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Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19
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Ex-Kestra Financial Broker Involved in Investor Fraud Claims and Accused of Unauthorized Trading
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Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Non-traded REIT Preferred Apartment Communities
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Broker Fraud and Investment Losses During The Time of The Coronavirus
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Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation
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Jack Jones and Mark Robare of Robare & Jones Wealth Management are the Subjects of a FINRA Complaint Involving GPB Investments and Other Privately Traded Investments
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Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving Midstream MLPs
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SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler
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Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors
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Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Robinhood Financial
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Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims
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Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M
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Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations
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Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Investment Adviser George Marwieh Over Future Income Payments Notes
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SSEK Investigates Stockbroker Misconduct Claims Involving Ex-Commonwealth Capital Broker Kimberly Springsteen-Abbott
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad
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GPB Capital Sued Again: A Class Action Fraud Case and One Lawsuit by Volkswagen
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-NYLIFE Securities Broker Over Future Income Payments Sales
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Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex- Broker Ma Rosa Linan Abrego and Merrill Lynch
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Forest Securities Broker Jeffrey Nimmow Who Sold Woodbridge Notes
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Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud
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GPB Capital Won’t Be Providing Key Tax Documents to Over 6,500 Investors By April 15
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Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Non-Traditional ETFs
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Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills
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Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann
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Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes
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Shepherd Smith Edwards and Kantas Investigates Ex-Cetera Advisors Broker Roger Owens
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SSEK Investigates UBS Broker Christopher Tolman For UBS YES Strategy Recommendations
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Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini
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Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano
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SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen
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SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements
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SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz
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Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser
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Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees
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SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver
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Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill
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Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages
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Kristian Finfrock, Founder of Retirement Income Strategies, is the subject of Investor Complaints Over GPB Capital and Other Esoteric Investments
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Shepherd Smith Edwards and Kantas Investigates Ex-Royal Alliance Broker Gary Basralian
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Shepherd Smith Edwards and Kantas Investigates NEXT Financial Group Over Non-Traded REIT Sales
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Shepherd Smith Edwards and Kantas investigates Martin David Batstone and Newbridge Securities Corp.
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving SBLOC Losses
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Shepherd Smith Edwards and Kantas Investigates Ex-Triad Advisors Broker Michael Sievert For Selling GPB Private Placements
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Woodbury Financial Services Broker Robert Hayes Hoffman
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Shepherd Smith Edwards and Kantas Investigates Investor Loses Involving Steepener Structured Notes
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Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Centaurus Financial Broker Katherine Nishnic
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Shepherd Smith Edwards and Kantas Investigates Sagepoint Financial Over GPB Private Placement Sales
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Shepherd Smith Edwards and Kantas Continues to Investigate Claims Involving Merrill Lynch Strategic Return Notes
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Shepherd Smith Edwards and Kantas Investigates Kalos Capital Broker Darren Kubiak Over GPB Investments and Exchange-Traded Funds Sales
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan
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Shepherd Smith Edwards and Kantas Investigates Claims Involving NYPPEX Broker Laurence Allen
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First Broker Fraud Case Involving GPB Capital Investments Gears Up for Spring FINRA Hearing
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Lincoln Investment Planning Broker Lester Burroughs
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Securities America Broker Ronald Roach
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Former GPB Capital Holdings Partner Doubles Down on Ponzi Scam Claims
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Leveraged Loan Defaults Hit $23B
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UBS Ordered to Pay Investor Over $150K In Puerto Rico Bonds and Closed-End Bond Fund Case
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Another GPB Capital Holdings Auditor Resigns
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Commonwealth Financial Network Broker Gerald Eaton
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Ex-UBS Puerto Rico Broker David Lugo Ordered to Appear in Federal Court
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National Financial Services Gives GPB Investors Deadline to Move Investments To Another Platform
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Shepherd Smith Edwards and Kantas Investigates Claims Involving 1 Global Capital Investments
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Summit Investment to Pay Investor $100K for LJM Preservation and Growth Fund
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Shepherd Smith Edwards and Kantas Investigates Ex-Sigma Financial Broker Frederick Randhahn For Selling $625K of Woodbridge Promissory Notes
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Shepherd Smith Edwards and Kantas Pursues GPB Capital Investor Fraud Claim Against Kalos Capital, Ameriprise Financial and Ex-Broker Gary Imel
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Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Capital Financial Investments and Ex- Broker Sean Kelly
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Shepherd Smith Edwards & Kantas Investigates Donovan St. Anthony Hunter and JP Morgan Securities LLP
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Kalos Financial Sends Letter to Investor Defending Its Sale of GPB Private Placements
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Hong Kong Fines UBS Group $51M For Overcharging Clients
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Shepherd Smith Edwards and Kantas Investigates GPB Investor Claims Against Ladenburg Thalmann’s Triad Advisors
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New Class Action Against GPB Capital Offers New Details Into Alleged $1.8B Ponzi Scam
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Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving First Standard Financial and Brokers Philip J. Sparacino and Gabriel Block
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9th Circuit Strikes Down JP Morgan Securities’ Wrongful Termination Win
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Morgan Stanley Pays $182K to Clients of Ex-Broker Justin Amaral
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SEC’s Broker-Dealer Fraud Case Against Cetera Advisors Reaches $21M
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Shepherd Smith Edwards and Kantas Investigates Centaurus Financial Brokers Ricky Mantei and Cindy Chiellini
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Shepherd Smith Edwards & Kantas Investigates Ex-Raymond James & Associates Advisor Stuart Nichols
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Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision
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Shepherd Smith Edwards and Kantas Investigates Claims by Clients of Innovation Partners
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Ex-Texas Broker With Morgan Stanley and Ameriprise Fined Over Allegedly Unauthorized Trades
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GPB Capital CCO Michael Cohn is Charged with Obstruction
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Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving ex-Morgan Stanley Brokers Ami Forte and Charles Lawrence
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Shepherd Smith Edwards and Kantas Investigates Daniel Gordon Maughan and Financial West Group
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Shepherd Smith Edwards and Kantas Investigates Complaints Involving Ex-Raymond James Broker John Wyshak
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Investor Funds Take on Big Losses Because of Argentina Stock Market Exposure
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Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger
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Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson
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Shepherd Smith Edwards and Kantas Investigating Claims Involving Ex-Hilltop Securities Broker Richard Cagle
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Shepherd Smith Edwards and Kantas Investigates Ex-Wells Fargo Broker Leonard Kinsman
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Shepherd Smith Edwards and Kantas Investigating Oppenheimer Broker Cesar Hurtado
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Stifel Nicolaus to Pay $1.5M For Failure to Supervise Broker Kenneth Blumberg
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What’s The Connection Between Kalos Capital And GPB Capital?
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Shepherd Smith Edwards & Kantas Investigates Jeffery Vasiloff, Former LPL Financial Advisor
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Shepherd Smith Edwards and Kantas Files Investor Fraud Lawsuit Against Money Concepts Capital for GPB Capital Sales
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Three Ex-Morgan Stanley Brokers Accused of Broker Misconduct
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Raymond James To Pay $15M for Improper Advisory Fees and Commission Charges
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SSEK Law Firm Investigates Ex-Broker James T. Flynn and Voya Financial Advisors
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Alleged $125M Offering Fraud Touted “Highly Profitable” Trading Strategy
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Investors Blame Brokers Matthew Buchsbaum And Scott Rosenberg For UBS YES Strategy Losses
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Fraudulent Binary Options Led to Tens of Millions of Dollars in Investor Losses
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SSEK Investigates Stockbroker Eddie Lyons of Raymond James & Associates
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Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations
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GPB Fails to Meet Its Own Disclosure Deadline, Fires Prime Automotive Group CEO
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Shepherd Smith Edwards & Kantas investigates James T. Booth and LPL/INVEST
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Shepherd Smith Edwards & Kantas investigates Marcus Boggs, a former Merrill Lynch Financial Advisor
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JP Morgan Settles Broker Fraud Claim for $14M
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Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS
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Investor Files GPB Private Placement Claim Against Kalos Capital
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Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing
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Ex-Cetera Broker from Texas is Accused of Defrauding Investors
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American Realty Capital Properties to Pay Investors $1B
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Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud
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Cetera Advisors Accused of Defrauding Investors of $10M
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Cambridge Capital Accused of Defrauding Retired NFL Athletes
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Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud
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UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud
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Financial Sherpa Accused of Cherry Picking
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UBS Yes Strategy Investors File Fraud Claims
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Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors
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Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M
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Former Broker Pleads Guilty in Castleberry Financial Fraud
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Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses
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Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit
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Commonwealth Accused of Not Disclosing Revenue Deal to Clients
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Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses
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Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds
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Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct
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Mispriced Funds and Elder Investor Fraud Lead to SEC Cases
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Centaurus Structured Investment Loss Lawyers
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Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements
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SSEK Investigates Darren Oglesby and Money Concepts Capital
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GPB Capital Sued by Another Business Partner Alleging Financial Misconduct
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56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
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Fidelity’s National Financial Services Orders GPB Private Placements Removed
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Nomura Settles Two MBS Fraud Cases for $25M
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GPB Capital Funds Continue To Plunge In Value
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AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M
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Aequitas Ponzi Fraud Case Results in $234.6M Settlement
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CYES Strategy Investments Prove Too Risky for Investors
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Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges
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Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision
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Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
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Legend Securities to Pay Almost $967K to Investor
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Former NY Trader Accused of $19.3M Ponzi Fraud
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Purshe Kaplan to Pay $9.5M to Native American Tribe
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Massachusetts Fines LPL Financial $1.1M
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Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements
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Investors Awarded $3M In Claim Against Spire Securities
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Healthcare Investment Scam Targeted Dozens of Investors
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REIT Investors Suffer Major Losses
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Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes
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Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
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Recent SEC Cases Involves Market Rigging
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Ex-Windsor Street Capital Broker is Barred
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Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud
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Wells Fargo Sued for More than $1B in RMBS Fraud Case
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Another Ex-LPL Broker Barred Following Misrepresentation Allegations
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Recent Ponzi Fraud Allegedly Targeted College Grads
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FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations
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Stephen Brandon Anderson Accused of Multiple SEC Findings
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Ex-Morgan Stanley Broker Suspended Over Alleged Churning
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FINRA Bars Additional Bad Brokers from Big Firms
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Former Och-Ziff Capital Executive Admits To Lying
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Investors Defrauded in Alleged $1.4M Prime Bank Fraud
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SEC Announces $4.5M Whistleblower Award
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Newbridge Securities Corporation in Financial Trouble
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SSEK Investigates Harvest Volatility Management Strategies
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Former LPL Financial Broker is Barred from the Securities Industry
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Morgan Stanley Ordered to Pay $519K to Retired Couple
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Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
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Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades
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Former Janney Montgomery Scott Broker Faces Charges
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Stanford Ponzi Fraud Victims Awarded $1.4M
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Fund Manager LJM Partners Sues Over Volatility Losses
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Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme
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AXA Financial Ordered to Pay $3.2M to Farming Family
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Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement
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Morgan Stanley To Pay $150M Over Mortgage-Backed Securities
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Claim Filed Against Arkadios Over GPB Capital Private Placements
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Buckman, Buckman & Reid To Pay Customers $205K
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Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging
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Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans
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Hundreds of Retail Investors Harmed in Two Separate Fraud Cases
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Ex-Aegis Capital Broker is Barred Over Churning Allegations
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LPL Financial To Pay $450K Fine to Texas Investors
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SEC Charges Abraaj Investment Management With Defrauding Investors
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Investment Adviser is Accused of Defrauding More than $570K
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Former Woodbridge CEO Now Faces Criminal Charges
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“Pastors” Accused of $25M Ponzi Scam
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Direct Lending Investments Face SEC $11M Fraud Charges
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Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced
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Texas Man Pleads Guilty In $360M Ponzi Scam
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Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney
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Sweetwater Investments Plead Guilty To $3M Investor Fraud
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Unregistered Investment Adviser Accused in $29M Ponzi Scam
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Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy
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Ex-UBS Puerto Rico Broker is Sentenced to Prison
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Family Files $18M Investor Fraud Lawsuit Against Securities America Alleging Broker Fraud
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The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company
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NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended
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Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client
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79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
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Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors
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Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
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Former Alexander Capital Broker Accused of Churning Must Pay Over $302K
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SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud
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BB&T Securities To Give Back Over $5M To Retail Investors
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Securities-Backed Lines of Credit Are Not For Every Investor
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Broker-Dealers Who Sold GPB Investments
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FBI Is Investigating GPB Capital Holdings
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Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment
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Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud
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Investors Claims Against Santander for Puerto Rico Bond Fraud Losses are Increasing
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Castleberry Financial Services is Accused of $3.6M Investor Fraud
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Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds
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Investor Fraud Claims Include Kiddar Capital and Stanford Ponzi Scam
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Former Commonwealth Financial Network Broker Is Accused of Stealing $100K From Retiree
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Philadelphia Sues Citigroup, Goldman Sachs, Bank of America and Other Big Banks, Alleges Municipal Bond Rigging
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United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker
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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
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U.S. First Circuit Court of Appeals Invalidates PROMESA Board
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Recover Losses From Investing With Former Ameritas Investment Corp. Broker Kristian Gaudet
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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
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$18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval
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Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution
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Statim Holdings Is Accused of Defrauding Private Fund Arjun and Its Investors
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Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders
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Investment Fraud: Capital Securities Must Pay Retired Teachers $3.8M and Investors Ask Court for Nearly $2.7M Judgment over High Risk Investment Losses
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U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets
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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
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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
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Woodbridge and Its Ex-Owner Must Pay $1B Over Alleged Ponzi Scam
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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
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Texas Real Estate Developer Faces SEC Charges Over Alleged Multimillion-Dollar Ponzi Scam
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Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes
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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
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CFD Investments Ordered to Pay $125K Fine Over the Inadequate Supervision of Variable Annuity Sales
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Royal Alliance and Former Broker Are Ordered to Pay $4.2M To Widow Who Was Victim of Investor Fraud
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Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds
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Enbridge Acquires The Rest of Its Houston-Based Mastered Limited Partnership Operations
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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
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Houston, TX-Based Brokerage Firm Next Financial is Acquired by Atria
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Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour
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Ex- Wells Fargo Broker Faces 128 Felony Counts in Alleged $1M Ponzi Scam
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Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt
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FINRA Sues Ex-Morgan Stanley Broker Ami Forte for Elder Financial Fraud
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SEC Files Charges Against 10 Companies and 13 Unregistered Brokers That Sold Woodbridge Securities in $1.2B Ponzi Scam
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FINRA and SEC Reportedly Probe GPB Capital Holdings and The Brokerage Firms That Sold Its Private Placements
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When Margin Calls Lead to Investor Fraud Losses
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Puerto Rico Consultant McKinsey & Company’s Ownership of $20 Million of Puerto Rico Bonds Raises Conflict of Interest Concerns
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Criminal Securities Fraud: Jury Convicts Former NJ Investment Manager Over $10M Ponzi Scam and Wilmington Trust Executives Get Prison Term of Six Years
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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
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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
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Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations
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FINRA Suspends Ex-Securities America Broker
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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
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Former Lombard Securities Broker Pleads Guilty in Multimillion-Dollar Ponzi Scam That Defrauded Older Investors
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International Assets Advisory “Proudly” Hires Brokers With “Checkered” Pasts
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Options Trading Website Owner Faces Charges in Alleged $4M Online Binary Options Fraud
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FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam
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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
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JPMorgan Chase and Citigroup Settle Euribor Investor Case for $180M
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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
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FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities
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H. Beck Ordered to Pay $400K for Unsuitable Variable Annuity Sales to Customers
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Alleged $17.5M Texas Investor Fraud Leads to Criminal Indictment
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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
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Ex-UBS Puerto Rico Broker Jose “Whopper” Ramirez Pleads Guilty to Bank Fraud
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GPB Capital Holdings’ Auditor Resigns Within Months of Private Placement Sales Suspension
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IMS Securities Ordered to Pay Retirement Investors $1M in UDF REIT Case
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Center Street Securities Broker and Lion’s Share Financial Are Accused of Defrauding Senior Retirees and Investors with Disabilities
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US Government Sues UBS for Residential Mortgage-Backed Securities Fraud
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FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets
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Former Next Financial Investment Adviser and Broker Pleads Guilty to Multimillion-Dollar Investor Fraud Charges
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Puerto Rico UBS Closed-End Mutual Fund Fraud Lawsuit Goes to Arbitration
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Ex-LPL Financial Broker Gets 20 Years in Prison for Securities Fraud
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UBS Ordered to Pay Investor $693K in Puerto Rico Bond Fraud Case
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FINRA Bars Another Ex-Morgan Stanley Broker
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Texas Couple Indicted for Allegedly Embezzling $14.5M from Retirement Funds
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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
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UBS to Pay $19.8M in Puerto Rico Bond Fraud Case
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Texas Oil and Gas Businessman Settles $80M Fraud Case Involving Breitling Energy Shares
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HSBC and Nomura to Pay $765M and $480M, Respectively to Settle RMBS Fraud Claims
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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
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Fidelity is Sued Over Alleged Retirement Plan Mismanagement Again
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Another Ex-Morgan Stanley Broker is Barred by FINRA
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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
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FINRA Bars Former Morgan Stanley and Wells Fargo Brokers
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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
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Wayde McKelvy, Accused of Defrauding Retirees and Widows in $54M Ponzi Scam, is Now on Trial
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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
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SEC and CFTC File Multiple Binary Options Fraud Complaints Accusing Marketers of Defrauding Investors of Millions of Dollars
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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
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Texas Investor Fraud: Investment Adviser is Barred in $6.8M Offering Fraud and Investment Promoter Gets 25 Years in Prison for Stealing from Clients
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TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities
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Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M
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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
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Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification
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SEC Issues $55.5M in Whistleblower Awards
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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
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Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations
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Another Texas-Based Wells Fargo Broker is Barred by FINRA
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FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers
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Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company
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New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance
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Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.
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Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed
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1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam
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Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA
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Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement
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Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services
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Oppenheimer Found Liable for Representative Mark Hotton’s Fraud
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Oppenheimer Continues to Show Serious Supervisory Deficiencies
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Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
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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
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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
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Unregistered Brokers Are Charged With Selling More Than $243M of Woodbridge Securities to Over 1600 Investors
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Ex-Wells Fargo Advisors Claim Bank Pressured Them to Sell Products That Charged Higher Fees to High-Net Worth Investors
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Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Puerto Rico UBS Bond Funds
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GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors
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Alleged $135M Ponzi Scam Involving Equitybuild
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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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$27M IN LONGFIN STOCK SALE PROCEEDS PLACED UNDER EMERGENCY FREEZE OVER ALLEGEDLY ILLEGAL DISTRIBUTIONS
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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
Investor Lawyers Blog