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 | Aug 26, 2019 | Securities Fraud
Antonio and John Bravata Stopped by SEC from Once Again Defrauding Investors Antonio M. Bravata, from Ferndale, Michigan, and his father, John Bravata, who is currently in prison, have been prevented from once again defrauding investors across Michigan and the nation....
by Broker Fraud | Jun 27, 2019 | Securities Fraud
PAUSE before you invest: Check the Recently Updated SEC List of Firms Using Inaccurate Information to Solicit Investors Several minutes of online research could protect your entire life savings. The U.S. Securities and Exchange Commission (SEC) recently updated its...
by Broker Fraud | Mar 29, 2019 | Securities Fraud, Securities Litigation
Merrill Lynch Pays $8 Million to Settle SEC Charges of Improper Handling of “Pre-Released” American Depositary Receipts (ADRs) American Depositary Receipts (ADRs) have been around since J.P. Morgan’s predecessor pioneered the concept in 1927 as an...
by Broker Fraud | Feb 26, 2019 | Securities Fraud
Two Michigan Men Charged by SEC for Roles in Fake Day-Trading Scheme There is a truth in investing that if a deal seems too good to be true, it probably isn’t true. We all want a good bargain. Unfortunately, crooks and scammers know that, and they use these...
by Broker Fraud | Sep 20, 2018 | Securities Fraud
On August 9, the U.S. Securities and Exchange Commission charged a former registered representative, John C. Maccoll, who was affiliated with the Birmingham, Michigan, branch of UBS Financial Services1, with defrauding brokerage customers out of almost $4 million in...
