by Broker Fraud | Aug 22, 2025 | FINRA Arbitration, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) is a private, not-for-profit membership organization of U.S. broker-dealers that is charged with protecting investors and safeguarding the capital markets.1 FINRA is responsible under federal law for supervising its...
by Broker Fraud | Jul 25, 2025 | Securities Fraud, Securities Litigation
The U.S. Securities and Exchange Commission (SEC) recently brought an action against a former real estate investment company chief executive officer who they allege defrauded investors of $46 million by selling them fake interests in real estate investment limited...
by Broker Fraud | May 29, 2025 | Securities Fraud, Securities Litigation
The Financial Industry Regulatory Authority (FINRA) has been focused on investment firms that are not reimbursing their customers for mutual fund sales charge waivers and fee rebates. In December FINRA ordered three firms to pay their customers more than $8.2 million...
by Broker Fraud | Apr 4, 2025 | Securities Fraud, Securities Litigation
Investors are continually looking for ways to increase their profits on investments, especially in periods of economic downturn. Investment opportunities are often pitched to investors through social media posts and investment-related chat groups online. In December...
by Broker Fraud | Jan 9, 2025 | Securities Fraud, Securities Litigation
Morgan Stanley Smith Barney to Pay $15M SEC Penalty for Failure to Prevent Financial Advisors’ Theft of Investor Funds Financial services firms have a duty and are required by U.S. Securities and Exchange Commission (SEC) rules to have supervisory and compliance...
by Broker Fraud | Dec 18, 2024 | Securities Fraud, Securities Litigation
JPMorgan Chase Affiliates to Pay $151 Million in SEC Enforcement Fines On October 31, the U.S. Securities and Exchange Commission (SEC) resolved five separate enforcement actions against J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management, Inc....
