by Broker Fraud | Aug 21, 2018 | Securities Fraud
Broker fined, barred by SEC for cherry-picking By Ryan Neal Investment News SEC issues cease-and-desist order to brokerage, trader Agency says Roger Denha unfairly allocated investment profits to personal, family accounts SEC alleges broker obtained $412,230 in...
by Broker Fraud | Jul 3, 2018 | Securities Fraud
The SEC, Securities and Exchange Commission, has charged Wells Fargo Advisors with misconduct in the sale of MLIs to retail investors. MLIs are known as market-linked investments. This financial misconduct has imposed substantial costs on retail customers. Without...
by Broker Fraud | Apr 24, 2018 | Securities Fraud
Agatha Christie, the popular detective novel author, was once quoted as having said that where large sums of money are concerned it is advisable to trust no one. A federal court indictment issued on March 29 once again bears out the wisdom of Ms. Christie’s...
by Broker Fraud | Mar 26, 2018 | Securities Fraud
Traditionally when purchasing goods or services, Americans used money, issued by the U.S. government and its fiscal agent, the Federal Reserve System. Then, in 2009, Bitcoin, the first cryptocurrency, was created. Wikipedia defines cryptocurrency as a digital asset...
by Broker Fraud | Mar 7, 2018 | Securities Fraud
Millions of investors have lost money through brokerage fraud, misconduct and mismanagement. The following is an article about securities fraud involving a pump and dump scheme. SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative...
by Broker Fraud | Feb 27, 2018 | Securities Fraud
Below is a great article written by John Waggoner about exchange-traded notes. Exchange-traded notes add another layer of risk ETNs tied to volatility took a beating when stocks plunged The collapse of the VelocityShares Daily Inverse VIX Short Term ETN (XIV) this...
