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Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI

Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI

by Broker Fraud | Oct 31, 2020 | FINRA Arbitration, Securities Fraud

Concorde Investment Services in Livonia Proposes to Settle FINRA Allegations of Failure to Supervise a Registered Representative A Livonia, Michigan, Financial Industry Regulatory Authority (FINRA) member, Concorde Investment Services, LLC, submitted a Letter of...
Morgan Stanley Fined by FINRA | MI Securities Law Office

Morgan Stanley Fined by FINRA | MI Securities Law Office

by Broker Fraud | Aug 26, 2020 | FINRA Arbitration, Securities Fraud

Morgan Stanley Fined by FINRA for Failing to Supervise a Registered Representative There are some investments that because of their upfront sales charges are only advantageous to investors if they are held for a long-term. On August 12, 2020, the U.S. Financial...
What Does FINRA Do? | MI Securities Law Firm

What Does FINRA Do? | MI Securities Law Firm

by Broker Fraud | May 22, 2020 | FINRA Arbitration, Securities Fraud

Securities markets need broad public confidence in their integrity to function correctly. Without confidence in the markets, trading securities would entail an unacceptably high level of risk with untold consequences. Because most of the world’s investors believe that...
Was Your Portfolio Suitably Invested?

Was Your Portfolio Suitably Invested?

by Broker Fraud | Apr 23, 2020 | FINRA Arbitration, Securities Fraud, Securities Litigation

As we navigate and muddle through the calamity of the Corona Virus black swan (an unforeseen, unexpected event), we must assess (1) where our stock portfolio value is at and (2) why. Is the value lost acceptable considering the black swan or is the loss in value...
SEC Charges Spartan Securities Group and Island Capital Management with Fraud

SEC Charges Spartan Securities Group and Island Capital Management with Fraud

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...
New Research Reveals a Major Flaw in FINRA’s BrokerCheck System

New Research Reveals a Major Flaw in FINRA’s BrokerCheck System

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...
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Recent Posts

  • U.S. Department of Justice Issues Indictment Against BitMEX Crypto Currency Exchange Executives
  • SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office
  • Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI
  • Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm
  • Morgan Stanley Fined by FINRA | MI Securities Law Office

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