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...
by Broker Fraud | Mar 21, 2022 | Securities Fraud, Securities Litigation
When stock prices take a wild ride, or start plummeting, investors often seek out safer and more lucrative places to invest. A precious metals individual retirement account (IRA) may appeal to investors in this situation, as this type of IRA allows investors to hold...
by Broker Fraud | Feb 16, 2022 | Securities Fraud, Securities Litigation
A recent enforcement action by the U.S. Securities and Exchange Commission (SEC) highlights once again the need for investors to do their research on investment offerings and heed any warning signs that an investment may not be legitimate. In January, the SEC charged...
by Broker Fraud | Jan 28, 2022 | FINRA Arbitration, Securities Litigation
FINRA Fines Aegis Capital $2.8M for Failure to Supervise Potentially Excessive Trading Brokerage firms that are members of the Financial Industry Regulatory Authority (FINRA) need to have supervisory systems in place that are reasonable designed to meet compliance...
by Broker Fraud | Dec 30, 2021 | Securities Fraud, Securities Litigation
Appointing a Trusted Contact for Investments Advised by Government Agencies The Federal Bureau of Investigation’s (FBI) Internet Crime Complaint Center (IC3) receives and tracks thousands of complaints of fraud each day and then investigates those complaints,...
by Broker Fraud | Oct 21, 2021 | FINRA Arbitration, Securities Litigation
The Financial Industry Regulatory Authority’s Investor Education Foundation teamed up with the University of Minnesota and the Better Business Bureau’s (BBB) Institute for Marketplace Trust to study why some consumers are more vulnerable to financial...
