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 | Oct 20, 2022 | Investment Fraud, Securities Litigation
Michigan Investment Advisor Steven F. Muntin Agrees to Final SEC Judgement on Fraud Allegations The Securities and Exchange Commission (SEC) on May 11, 2022, permanently barred Steven F. Muntin from “acting as a broker or investment adviser or otherwise...
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...
