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Articles Tagged with investor claims

SSEK Investigate Investment Fraud Claims Made Against 1 Global Capital

If you are someone who invested in 1 Global Capital notes at the recommendation of your broker or financial advisor, you may have grounds for filing an investment fraud claim. 1 Global is accused of operating a $322M scam and defrauding at least 3,600 investors including older investors who lost their retirement funds as a result. 

Contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today so we can determine whether you have grounds for a broker fraud case to help you recover your money. 

SSEK Investigating Ladenburg Thalmann & Triad Advisors Over GPB Capital Investor Claims 

In its quarterly report to the US Securities and Exchange Commission (SEC), Ladenburg Thalmann Financial Services notes that one of its brokerage firms, Triad Advisors, is the subject of six Financial Industry Regulatory Advisory (FINRA) arbitration complaints by customers seeking $1.65M in damages after the firm’s brokers sold them GPB private placements. 

GPB Capital Holdings is accused of operating a $1.8B Ponzi scam. Many investors are claiming massive losses in the wake of the various GPB funds plunging in value, the suspension of investor redemptions, and the regulatory and criminal probes swirling around the alternative asset firm. 

Morgan Stanley Ordered To Pay Over $300K In Fines And Restitution

Secretary of the Commonwealth of Massachusetts, William Galvin, is ordering Morgan Stanley (MS) to pay a $200K fine, as well as $182K in restitution to four customers who suffered losses while working with former broker Justin E. Amaral. 

The ex-Morgan Stanley financial advisor was barred by the Financial Industry Regulatory Authority (FINRA) in 2015. 

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