by Broker Fraud | Nov 29, 2022 | Securities Fraud, Securities Litigation
SEC Issues Update to the Public Alert: Unregistered Soliciting Entities (PAUSE) List The Securities and Exchange Commission (SEC) works diligently to provide investor education to the general public in an effort to reduce fraud and provide investors with tools to make...
by Broker Fraud | Jul 25, 2022 | Securities Fraud, Securities Litigation
On June 13 the U.S. Securities and Exchange Commission (SEC) charged three Charles Schwab investment adviser subsidiaries with misleading Robo-Adviser clients about fees. In order to settle the charges, those three Charles Schwab subsidiaries — Charles Schwab...
by Broker Fraud | Jun 24, 2022 | Securities Fraud, Securities Litigation
SEC Halts Alleged Fraud by Detroit-based EIA All Weather Alpha Fund I Partners On May 18, the U.S. Securities and Exchange Commission (SEC) filed a complaint for injunctive and other relief against Michigan-based EIA All Weather Alpha Fund I Partners, a purported...
by Broker Fraud | May 31, 2022 | Securities Fraud, Securities Litigation
Joshua Louis Rupp, 37, pleaded guilty in federal court in Grand Rapids and was sentenced in March to serve 16 years in jail for securities fraud. Rupp was already in prison serving a three year and nine month sentence, having pleaded no contest and been convicted of...
by Broker Fraud | Mar 21, 2022 | Securities Fraud, Securities Litigation
When stock prices take a wild ride, or start plummeting, investors often seek out safer and more lucrative places to invest. A precious metals individual retirement account (IRA) may appeal to investors in this situation, as this type of IRA allows investors to hold...
by Broker Fraud | Feb 16, 2022 | Securities Fraud, Securities Litigation
A recent enforcement action by the U.S. Securities and Exchange Commission (SEC) highlights once again the need for investors to do their research on investment offerings and heed any warning signs that an investment may not be legitimate. In January, the SEC charged...
