by Broker Fraud | May 26, 2021 | FINRA Arbitration, Securities Fraud
Transamerica Financial Advisors, Inc. to Pay $8.8 Million FINRA Sanction for Supervisory Violations On December 21, 2021, the Financial Industry Regulatory Authority (FINRA) announced that Transamerica Financial Advisors, Inc. (TFA) had agreed to pay an $8.8 million...
by Broker Fraud | Apr 22, 2021 | Investment Fraud, Securities Fraud
Historically when times are uncertain and large numbers of people are unemployed, as they are during this pandemic, there is a rise in crime, including investment scams. According to the United States Securities and Exchange Commission (SEC), investment scam...
by Broker Fraud | Apr 5, 2021 | Investment Fraud, Securities Fraud
Bitcoin is one of the most widely recognized, and owned cryptocurrencies with a market capitalization of over a trillion dollars in March 2021.1 Cryptocurrencies are digital assets designed to work as a medium of exchange. Unlike paper money, cryptocurrency...
by Broker Fraud | Feb 24, 2021 | Securities Fraud, Securities Litigation
Sometime before our current economic woes, you may have invested in a publicly registered non-traded Real Estate Investment Trust. The product offered attractive yields from real estate investment. Hoping for growth that would be a source of income when it was time to...
by Broker Fraud | Jan 26, 2021 | Securities Fraud, Securities Litigation
Interactive Brokers, the popular stock trading platform went down which left traders unable to place trades for several hours. Take a look at the article below posted by Annie Massa and Misyrlena Egkolfopoulou from Bloomberg. Outages at Interactive Brokers, Robinhood...
by Broker Fraud | Dec 30, 2020 | Investment Fraud, Securities Fraud
The United States District Court for the Southern District of New York on October 1, 2020, unsealed a criminal indictment against four BitMEX executives for violations of the U.S. Bank Secrecy Act (BSA).1 It is a move that is noteworthy in that the “Department...
