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Securities Fraud Attorney Peter C. Rageas, P.C.
Merrill Lynch to Pay $12M for Failing to File Suspicious Activity Reports
When criminals receive money from an illegal transaction they often move that "dirty" money into the financial system, either through depositing the illegal gains into a bank or credit union or investing the money with an investment firm or through a number of other...
Merrill Lynch Fails to Disclose Foreign Exchange Fees to Clients
Merrill Lynch Agrees to Pay $9.5 Million to Settle SEC Charges of Failing to Disclose Foreign Exchange Fees to Clients On April 3 the U.S. Securities & Exchange Commission (SEC) announced that Merrill Lynch, Pierce, Fenner & Smith Inc. had agreed to settle...
Seniors and Investment Fraud
On March 27 the Financial Industry Regulatory Authority (FINRA) hosted the Senior Investor Protection Conference in Washington, DC. This one-day conference was an opportunity for conference participants to learn effective strategies and solutions for protecting...
Michigan Bank – Sterling Bancorp – Pleads Guilty to Securities Fraud
On March 15, the United States Department of Justice (DOJ) reported that Sterling Bancorp, Inc., headquartered in Southfield, Michigan, and the holding company for Sterling Bank and Trust F.S.B., has agreed to plead guilty to securities fraud.1 Sterling Bancorp has...
Loren Justin Morrison of Stifel , Nicolaus & Company
Did Loren J. Morrison Cause You Investment Losses? Loren J. Morrison of Stifel, Nicolaus & Company Has Customer Complaints for Alleged Broker Misconduct Who Is Loren J. Morrison Of Stifel, Nicolaus & Company? Loren J. Morrison (crd# 4578161) who is currently...
Has Any Financial Advisor Recommended FTX Stock for You to Buy?
Did Any Stockbroker or Financial Advisor Recommend You Invest in Crypto Currency Exchange FTX Causing You Losses? Schedule a Free Consultation On November 15, 2022, FTX Digital Markets, the Bahamas based unit of the recently collapsed cryptocurrency trading platform,...
Can You Sue Your Registered Investment Advisor?
Making good financial investment decisions often requires specialized knowledge and a considerable investment of time to understand and monitor the ever-changing market options. Over one third of investors in America, about 40 percent, rely on financial advisers to...
Goldman Sachs to Pay SEC Fine Related to ESG Investments
Goldman Sachs to Pay $4 Million SEC Fine Related to Environmental, Social and Governance (ESG) Investments In recent years there has been an emerging trend for investors to put their investment dollars into companies that are aligned with their own world view. These...
FTX and Cryptocurrency Fraud
Cryptocurrency has always been purported to be a risky investment by most prominent financial authorities. In September, Forbes Advisor published an article entitled "Crypto Winter is Here" detailing how, at that point, Bitcoin was 65 percent off its November 2021...
SEC Issues Update to the Public Alert
SEC Issues Update to the Public Alert: Unregistered Soliciting Entities (PAUSE) List The Securities and Exchange Commission (SEC) works diligently to provide investor education to the general public in an effort to reduce fraud and provide investors with tools to make...
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