Pontiac MI Securites Attorney Helping Clients with Stock broker fraud

Securities Attorney Pontiac



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Experienced Securities Attorney near Pontiac MI, Peter C. Rageas is tough on investment fraud


If you are a victim of stockbroker negligence, let our legal experts help you today! Securities attorney Rageas has over 20 years of experience defending clients from fraudulent stock brokers. We offer residents Pontiac Michigan, the comprehensive legal support, and are always enthused to fight for our clients rights!

If you believe that you have been harmed by a stockbroker or investment advisor, please contact our law firm today. We have helped many clients from investment losses, stockbroker negligence, stockbroker malpractice, and more! Often, a stock broker or investor places their own financial desires ahead of yours. You need an experienced Securities Litigator to fight for you! The Securities Law Offices of Peter C. Rageas, can help victims of stockbroker and investment negligence. When making investments on behalf of their clients, financial advisors are required to obtain information that will allow them to make sound investment recommendations. Further, a stockbroker is required to understand an investor’s tolerance for risk, financial needs and investment timing.

The attorneys at the Law Offices of Peter C. Rageas are the ideal choice to recover your losses. We have the experience and resources to protect our clients from fraudulent stock brokers, call Today!

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Securities Litigation

Securities Litigation – Specializing in class action stockbroker negligence and wrong doing, to victims of investment scams


Securities Lawyers

If you are facing fraud, misrepresentation, account churning or breach of contract, you must contact a securities attorney at our law offices today!


Broker Misconduct

Experienced in all aspects for fraudulent broker abuse, including unauthorized trading in your brokerage account and improper allocation of assets, read more.

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Our Law Firm Will Accept Securities Cases From Pontiac Residents on Contingency


Why does our law firm work on a contingency basis to defend your securities lawsuit? Often Securities Litigation can be expensive. This affords our clients an opportunity to file a lawsuit against the negligent financial advisor who caused your financial loss. More importantly, our clients are able to file their claim, without incurring cost up front for the payment of attorney’s fees. Our contingency structure helps individuals who need to file a case immediately, while not worrying about funds to finance the lawsuit.

If a stock broker agrees to manage his or her client’s portfolio and they have discretionary authority to make decisions without consulting the client, then they have fiduciary duties to their client. Securities attorney expert, Peter C. Rageas, has grown to be Michigan’s leading choice for Broker Fraud. In addition to securities litigation, we also offer many other services including the protection against Ponzi schemes, securities misrepresentation, broker negligence, legal causes against stockbrokers, breach of fiduciary duty, stockbroker claims, investment fraud, securities litigation, and FINRA assistance

Our law firm is experienced in securities dispute resolution. Don’t let a stock broker or investment advisor place their own interests before of yours. Please call our law offices for your Risk-Free Consultation, and get back what is yours!

Experienced Securities Attorney in Pontiac MI

Michigan Law Firm Specializing in Securities Litigation

Securities Lawyer in Pontiac Michigan

Material Facts Must Be Disclosed in Securities

The stock broker is required by law to make full to investors of all material risks that are inherent to the investments recommended. When neglected, investment fraud can exist. The firm or the stock broker can be held responsible for securities fraud including, misrepresentations or omissions of material facts. Material misrepresentations made to the investor regarding the risk associated with making a particular investment can lead to a finding that the firm and broker are responsible for compensatory damages or losses sustained.

Posts from Experienced Securities Attorney Peter C. Rageas

Investment Scam Complaints are on the Rise

Historically when times are uncertain and large numbers of people are unemployed, as they are during this pandemic, there is a rise in crime, including investment scams. According to the United States Securities and Exchange Commission (SEC), investment scam...

Stefan He Qin Pleads Guilty to Cryptocurrency Investment Fraud

Bitcoin is one of the most widely recognized, and owned cryptocurrencies with a market capitalization of over a trillion dollars in March 2021.1 Cryptocurrencies are digital assets designed to work as a medium of exchange. Unlike paper money, cryptocurrency doesn't...

Morgan Stanley Fined by FINRA | MI Securities Law Office

Morgan Stanley Fined by FINRA for Failing to Supervise a Registered Representative There are some investments that because of their upfront sales charges are only advantageous to investors if they are held for a long-term. On August 12, 2020, the U.S. Financial...

What Does FINRA Do? | MI Securities Law Firm

Securities markets need broad public confidence in their integrity to function correctly. Without confidence in the markets, trading securities would entail an unacceptably high level of risk with untold consequences. Because most of the world’s investors believe that...

Was Your Portfolio Suitably Invested?

As we navigate and muddle through the calamity of the Corona Virus black swan (an unforeseen, unexpected event), we must assess (1) where our stock portfolio value is at and (2) why. Is the value lost acceptable considering the black swan or is the loss in value...

Wells Fargo Settles with SEC Over Charges | MI Securities Law Firm

Wells Fargo Settles with SEC Over Charges Related to Single Inverse EFT Investments The U.S. Securities and Exchange Commission announced on February 27, 2020, that it had settled charges it lodged against Wells Fargo Clearing Services and Wells Fargo Advisors...

Celebrity Endorsements and Investments | MI Securities Law Firm

The psychology behind celebrity endorsements of products seems simplistic. The human brain recognizes celebrities similarly to how it recognizes people we actually know.1 People feel that they know the celebrity and that they can trust the celebrity and when that...

SEC Charges Radio Investment Show Host with Defrauding Retirees

Keith Springer hosts the Smart Money with Keith Springer radio show which is broadcast on iHeartRadio, as well as on KFBK in the greater Sacramento, California, area. The U.S. Securities and Exchange Commission recently charged Springer and the firm he owns, Springer...

SEC Files Charges Against Binary Options Brokers

SEC Files Charges Against Binary Options Brokers LBinary and Ivory Options Two citizens of Israel, Anton Senderov and Lior Babazara (also known as Lior Bar), were charged by the U.S. Securities and Exchange Commission (SEC) on October 9, 2019, with causing over 2,800...

SEC Stops a Ferndale Michigan Securities Fraud Scheme

Antonio and John Bravata Stopped by SEC from Once Again Defrauding Investors Antonio M. Bravata, from Ferndale, Michigan, and his father, John Bravata, who is currently in prison, have been prevented from once again defrauding investors across Michigan and the nation....

IRS Cracks Down On Virtual Currency Owners

For tax purposes, the U.S. Internal Revenue Service (IRS) treats virtual currency and cryptocurrency as property. Taxpayers who receive virtual currency or cryptocurrency as payment for goods or services are required by the IRS to include the fair market value of the...

Two Michigan Men Charged by SEC for Day-Trading Scheme

Two Michigan Men Charged by SEC for Roles in Fake Day-Trading Scheme There is a truth in investing that if a deal seems too good to be true, it probably isn't true. We all want a good bargain. Unfortunately, crooks and scammers know that, and they use these great...

SEC Charges Major Investment Firms with Misconduct

The Securities and Exchange Commission (SEC) has been busy protecting investors this summer and has brought charges against some larger investment firms, including Morgan Stanley Smith Barney and Merrill Lynch. Morgan Stanley Smith Barney (MSSB) was charged by the SEC...

Wells Fargo Advisors Settles SEC Charges

The SEC, Securities and Exchange Commission, has charged Wells Fargo Advisors with misconduct in the sale of MLIs to retail investors. MLIs are known as market-linked investments. This financial misconduct has imposed substantial costs on retail customers. Without...

Investment 101: Be Careful Who You Trust

Agatha Christie, the popular detective novel author, was once quoted as having said that where large sums of money are concerned it is advisable to trust no one. A federal court indictment issued on March 29 once again bears out the wisdom of Ms. Christie's statement....

Unregistered Broker Illegally Brokers Securities Sales

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...

Manipulative Trading with U.S. Microcap Stocks

Millions of investors have lost money through brokerage fraud, misconduct and mismanagement. The following is an article about securities fraud involving a pump and dump scheme. SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative...

Exchange – Traded Notes and Risk

Below is a great article written by John Waggoner about exchange-traded notes. Exchange-traded notes add another layer of risk ETNs tied to volatility took a beating when stocks plunged The collapse of the VelocityShares Daily Inverse VIX Short Term ETN (XIV) this...

Florida Penny Stock Investors Defrauding Elderly Investors

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...

Pump and Dump Scheme Basics

Avoid financial losses by learning the basics of the common pump and dump scheme. What is Pump And Dump? Unscrupulous investors heavily promote a stock they plan to temporarily hold until the stock price is artificially boosted/inflated through false promotion,...

Common Forms of Stockbroker Misconduct

Help your Clients: Watch for Financial Advisor/Stockbroker Misconduct or Negligence Financial Crime and stockbroker misconduct has increased in recent years. Many of its victims are unaware of their plight until their CPA raises questions about their portfolio of...

Michigan Broker Facing Securities Fraud Charges

Shelby Township Broker, Ernest J. Romer, III, Facing Securities Fraud Charges From Michigan’s Licensing And Regulatory Affairs Department (LARA) August 2017- A Cease and Desist Order has been issued by Michigan’s Licensing and Regulatory Affairs Department (LARA)...

Malaysian Scandal – Efforts at Recovery of Losses

Final part in the Malaysian Scandal Series – Attorney Peter C. Rageas Helping Investors Recover Loses While Malaysia and Abu Dhabi are moving to clean up one part of the scandal: who would pay back investors who bought the bonds, it isn’t out of the woods yet. The Abu...

Malaysian Scandal – Helping Investors Recover Losses

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...

Securities Fraud Awareness in Michigan

As individuals invest their precious income, they depend on the veracity of the securities and commodities markets. Rest assured, that your government is actively investigating criminal activity in the financial markets, that could potentially harm investors. Although...

Ex Campbell Mayor Pleads Guilty in Securities Fraud Case

Securities fraud, is a deceptive practice in the stock or commodities markets. Typically this practice entices investors to make sale or purchases on the basis of false information. This information frequently results in losses and is in violation of securities laws....

What is securities fraud in Michigan

Also known as investment fraud or stockbroker fraud, securities fraud is a misleading practice in the investment markets (stock or commodities) that persuades investors to make purchase or sale decisions on the basis of fraudulent information. Inevitably, such...

SEC Charges Paxton With Securities Fraud

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...

What is Securities Fraud and How Can a Fraud Attorney Help?

In general terms, fraud such as investment or securities can occur when a broker makes false statements regarding a company or the value of the related stock. The victims typically will make financial decisions based on such false information. Fraud can be at times...

Why Proving Securities Fraud is Important

Securities Litigation and Steps to Proving Fraud In the world of securities litigation, there are many factors to consider when making a claim. Ultimately it will come down to the facts and you best be prepared. Many article on the interenet discuss this topic....

Michigan targets money scams against seniors

Michigan's New Laws for Securities Violations Here's how that would work: Michigan's new law provides an additional $500,000 penalty for securities violations involving investors who are age 60 or older. The extra penalty would be on top of a civil fine of $10,000 for...

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Stockbroker Fraud
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