by Broker Fraud | Mar 7, 2025 | FINRA Arbitration, Investment Fraud
On January 28, 2025 the Financial Industry Regulatory Authority (FINRA) released its Annual Regulatory Oversight Report1 which gives an overview of the organization’s finding from its regulatory operations programs. A section of the report is dedicated to Financial...
by Broker Fraud | Feb 4, 2025 | Investment Fraud, Securities Litigation
There has been a lot of discussion in recent years about the power of artificial intelligence, often referred to as AI, which basically is” intelligence exhibited by machines, such as computer systems, … that enables the machines to perceive their environment...
by Broker Fraud | Jan 30, 2024 | Investment Fraud, Securities Fraud
Peter Doelger founded a Boston-based company in the 1970s which helped homeowners nationwide lower their energy bills through a network of contractors tasked with focusing on the homeowners’ attic insulation and windows. Honeywell bought the business in 1995 for an...
by Broker Fraud | May 24, 2023 | FINRA Arbitration, 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...
by Broker Fraud | Oct 20, 2022 | Investment Fraud, Securities Litigation
Michigan Investment Advisor Steven F. Muntin Agrees to Final SEC Judgement on Fraud Allegations The Securities and Exchange Commission (SEC) on May 11, 2022, permanently barred Steven F. Muntin from “acting as a broker or investment adviser or otherwise...
by Broker Fraud | Aug 24, 2022 | Investment Fraud, Securities Litigation
Equitable Financial Sanctioned by SEC for Misleading Investors About Fees Investing your money doesn’t come without a price tag. There are fees and cost associated with investment products and services and in order to invest wisely an investor should thoroughly...
