by Broker Fraud | Oct 10, 2025 | Securities Fraud, Securities Litigation
Starting up and operating a small business has many challenges. Knowledge of rules and regulations is one of the most challenging activities for many small business owners. The U.S. Securities and Exchange Commission (SEC) provides a range of resources to help small...
by Broker Fraud | Sep 19, 2025 | Securities Fraud, Securities Litigation
The U.S. Securities and Exchange Commission (SEC) is a federal government agency charged with protecting investors and ensuring fair and efficient capital markets, making sure that investment advisors, stock exchanges and other market participants comply with U.S....
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 | Jun 20, 2025 | Investment Fraud, Securities Litigation
The U.S. Federal Bureau of Investigation reports that in 2024 alone $672 million dollars was fraudulently taken from victims of confidence/romance scams with those over 60, as a group, reporting the most losses and submitting the most complaints to the FBI’s Internet...
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...
