Investment & Securities Fraud Lawyers Website

Search Results: ponzi scam

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Pension Funds

For example, in 2017, Ex-Sterne, Agee, and Leech broker and managing director Deborah Dickson Kelley pleaded guilty to securities fraud after taking part in a “pay-to-play” scam so as to work with the New York State Common Retirement Fund. ... ...

LPL Financial

The self-regulatory organization (SRO) found that the firm’s weak supervision of consolidated reports enabled one ex-broker to run a $1M Ponzi scam that harmed customers.

Private Equity Fund Fraud and How Our Experienced Brokerage Firm ...

In the alleged $110M Horizon Private Equity III Ponzi Scam , Southport Capital owner and ex-Oppenheimer stockbroker John Woods is accused of defrauding investors, including Oppenheimer clients. ... Although Oppenheimer wasn’t involved in the alleged Ponzi scam, FINRA found that ...

MML Investors Services

GPB Capital Holdings is accused of operating a more than $1.8B Ponzi scam.

The Difference Between Solicited Trades & Unsolicited Trades

For example, if you are a retail investor and your financial advisor recommended GPB Capital Holdings private placements — the alternative asset firm is now accused of operating a more than $1.8B Ponzi scam — these were solicited trades suggested ...

Newbridge Securities Corp.

Another ex-Newbridge broker, Gerald Cocuzzo, pleaded guilty to securities fraud involving a $131M Ponzi scam in 2016.

AIG SunAmerica Background Information

After SunAmerica’s agent was indicted for perpetrating a “Ponzi” scheme, they agreed to pay $7 million. Part of the payment was through insurance, to resolve its liability in a long-running “church-fraud” case dubbed “Operation Island Scam” by federal investigators. The ...

Understanding Affinity Fraud: How to Spot the Dangers

Affinity fraud is a type of investment fraud which involves a scam that targets members of a specific group. ... If you suspect that you or a loved one lost money in an affinity scam, speak with an investment lawyer ...

Dallas Office

Brokers also have a duty to ensure that an investment is legitimate and not part of a Ponzi scam or another type of fraud.

Western International Securities

Bennett, also of Bennett Group Financial, allegedly ran a $20M Ponzi Scam.

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