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 | Jul 16, 2018 | Securities Litigation
In their ongoing effort to improve investor protection, the U.S. Securities and Exchange Commission (SEC) has recently launched two new initiatives. One is a new search tool aimed at helping investors avoid potential investment fraud.1 The other initiative is...
by Broker Fraud | Mar 14, 2018 | Securities Litigation
Edwin Shaw LLC, a New York based company, has been charged by the Securities and Exchange Commission with illegally brokering dozens of investments by foreign nationals seeking legal residency through the federal government’s EB-5 Immigrant Investor Program. The case...
by Broker Fraud | Feb 6, 2018 | Securities Litigation
In the financial world of stocks, there is plenty to be leery about. Unfortunately, the elderly are a prime target for scammers. It is also unfortunate that many swindlers are repeat offenders. The SEC is working to “crack down” on individuals who have previously...
by Broker Fraud | Aug 4, 2017 | Securities Litigation
Malaysian Scandal – Attorney Peter C. Rageas Helping Investors Recover Losses US Authorities Fight Against Illicit Finance US authorities allege that the stolen funds were funneled via a series of bank accounts and shell companies to partly finance the purchase of...
by Broker Fraud | Sep 26, 2016 | Securities Litigation
Yet another charge brought forth by the SEC, this time charging Ken Paxton for allegedly misleading investors in a technology company. The U.S. Securities and Exchange Commission filed the charges earlier this year. Paxton is faced with three felony counts, and has...
