by Broker Fraud | Sep 28, 2022 | FINRA Arbitration, Securities Litigation
Robert David Jr. Submits Letter of Acceptance, Waiver and Consent to FINRA A Michigan securities representative filed a Letter of Acceptance, Waiver and Consent (AWC) on March 31, 2022, with the Financial Industry Regulatory Authority (FINRA) accepting, without...
by Broker Fraud | Aug 24, 2022 | Investment Fraud, Securities Litigation
Equitable Financial Sanctioned by SEC for Misleading Investors About Fees Investing your money doesn’t come without a price tag. There are fees and cost associated with investment products and services and in order to invest wisely an investor should thoroughly...
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 | Apr 18, 2022 | Investment Fraud, Securities Litigation
On August 25, 2020, the Senate Finance Committee Chair Chuck Grassley and the Committees’ ranking member, Ron Wyden, released a report on the Committee’s investigation into syndicated conservation easements and possible tax fraud. The report detailed the...
