over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades Churning Unsuitability Overconcentration Unauthorized trading Breach of contract Breach of fiduciary duty Failure to supervise Different kinds of investment ...

Brokers also have a duty to ensure that an investment is legitimate and not part of a Ponzi scam or another type of fraud. Unfortunately, many investment losses happen because a registered representative made an unsuitable recommendation or left out ...

At that time, the stock market in the United States was not federally regulated and, as a result, many scams had been perpetrated on the investing public. In response, Congress passed the Exchange Act with the intention of protecting investors ...

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

Over Alleged $110M Ponzi Scam On August 1, 2021, investors filed a securities fraud lawsuit against Oppenheimer over the investment losses they sustained in an alleged Ponzi scam involving ex-broker John J. Woods. The former Georgia financial advisor is also ...

Shepherd Smith Edwards and Kantas Continues To Represent Investors Who Suffered Losses as a result of Andrew Jacobus Andrew Hamilton Jacobus (Jacobus), the ex-Florida investment adviser who pleaded guilty to running a $94M Ponzi-style scam , was sentenced to 20 ...

If Your Broker Involved You In This Type of Investment Scheme, You May Be Able To Sue For Damages Shepherd Smith Edwards and Kantas Ponzi Scam Attorneys ( investorlawyers.com ) represents those who have suffered losses because of broker fraud ...

They are accusing him of running a more than $60M Ponzi scam that may have defrauded over 300 investors. Also purportedly involved in the alleged scam are Yield Capital Management and Yield Wealth Limited, which are both affiliated with Regan.

Alternative asset firm GWG Holdings, which filed for bankruptcy in 2022, is accused of running a more than $1.6B Ponzi scam. Continue Reading ›

Against Broker-Dealers Our L Bond Loss Recovery Can Help Those Who Have Legal Grounds File Their FINRA Lawsuits Shepherd Smith Edwards and Kantas GWG Loss Attorneys ( investorlawyers.com ) represent GWG Holdings investors whose broker-dealers unsuitably recommended and sold to ...