by Broker Fraud | Sep 30, 2019 | FINRA Arbitration, Securities Fraud
SEC Charges Spartan Securities Group and Island Capital Management with Creating and Selling Fraudulent Companies In recent years, the micro-cap market has seen increased scrutiny by the Securities and Exchange Commission (SEC). On February 20, 2019, the SEC filed a...
by Broker Fraud | Dec 11, 2018 | FINRA Arbitration
It has often been advised by many financial service industry leaders, including the U.S. Securities and Exchange Commission (SEC), that prior to making any investment decision, investors need to research the broker who is pitching the investment. One of the most...
by Broker Fraud | May 10, 2018 | FINRA Arbitration
Finding out if your investment professional is legitimate has gotten a whole lot easier since 2009, when the U.S. Securities and Exchange Commission debuted a free search tool which provides investors with a quick and easy way to check out the background of their...
by Broker Fraud | Dec 23, 2017 | FINRA Arbitration
Can Professional Honors, Awards Or Rankings Protect Me From Financial Losses or Securities Fraud? How significant is your financial professional’s honor, award, ranking or designation? Are these distinctions signs that you’ll be protected against financial...
by Broker Fraud | Oct 13, 2017 | FINRA Arbitration
Financial Loss Due To A Securities Broker’s Negligence– Brokers Are Human, But Are They Allowed To Make Mistakes? Investors place a significant amount of trust in their securities broker. It’s assumed a broker will research companies and investments, watch...
by Broker Fraud | May 6, 2017 | FINRA Arbitration
Dick and Jane Investor have an investment account with ABC Brokerage. They have been saving for a number of years to fund their retirement. They feel comfortable with the brokerage firm and like their broker, Don, however, Dick has some concerns about the account....
