Broker Negligence Attorney
Waterford MI
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Experienced Stock Broker Misconduct and Securities Attorney Waterford MI. Peter C. Rageas is Tough on Investment Adviser Malpractice!
If you are a victim of broker negligence, let our legal team help you today! Securities attorney Rageas has over 20 years of experience defending clients from fraudulent investment advisers. We offer residents of Waterford MI, the most effective 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 professional, please contact our securities firm today. We have helped many clients fight against investment losses, stockbroker negligence, stockbroker malpractice, and more! Often, a financial adviser places their own financial interests ahead of yours. You need an experienced Securities Attorney to fight for you! The Securities Law Offices of Peter C. Rageas, can help victims of stock broker and investment negligence. While making investment recommendations, stock brokers 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 time horizon.
The lawyers at the Law Offices of Peter C. Rageas are the best choice to recover your damages. We have the experience and resources to protect our clients from corrupt stock brokers, call Today!
Our Full-Service Law Firm Will Fight to Recover Your Losses!
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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Law Offices of Peter C Rageas
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Our Securities Law Firm Will Accept Cases From Waterford Investors on Contingency
Why does Peter Rageas 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 broker who caused your financial loss. More importantly, our clients are able to file their claim, without spending money initially for the payment of attorney’s fees. Our contingency arrangement helps individuals who need to file a case right away, while not worrying about funds to pay for the lawsuit.
If a financial adviser agrees to manage his or her client’s portfolio and they have ultimate authority to make trades without consulting the client, then they have fiduciary responsibility to their client. Securities attorney expert, Peter C. Rageas, has grown to be Michigan’s preferred choice for stock broker lawsuits. In addition to securities litigation, we also offer many other services including the protection against Ponzi schemes, securities misrepresentation, broker misconduct, legal causes against stockbrokers, breach of fiduciary duty, stockbroker claims, investment malpractice, securities litigation, and FINRA assistance
Our law firm has a high record of successful securities dispute resolutions. Don’t let a stock broker or investment adviser place their own interests before of yours. Contact our law offices for your Risk-Free Consultation, and get back what you deserve!
Michigan Law Firm Specializing in Securities Litigation
Material Risks Must Be Disclosed in Securities Cases
The stock broker is required by law to make full to investors surrounding material risks that are inherent to the investments recommended. The firm or the stock broker can be held responsible for investment losses including, misrepresentations or omissions of material facts. Omissions made to the investor regarding the risk involved with making a particular investment, can find the firm and broker are responsible for compensatory damages or losses sustained. We offer FREE consultations to Waterford residents, call today to speak with an experienced securities attorney!
Posts from Experienced Securities Attorney Peter C. Rageas
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...
Non-Traded Unsellable Real Estate Investment Trusts | Securities Law Firm MI
Sometime before our current economic woes, you may have invested in a publicly registered non-traded Real Estate Investment Trust. The product offered attractive yields from real estate investment. Hoping for growth that would be a source of income when it was time to...
Interactive Brokers, Robinhood Brokerage Affected by Stock Trading Outages
Interactive Brokers, the popular stock trading platform went down which left traders unable to place trades for several hours. Take a look at the article below posted by Annie Massa and Misyrlena Egkolfopoulou from Bloomberg. Outages at Interactive Brokers, Robinhood...
U.S. Department of Justice Issues Indictment Against BitMEX Crypto Currency Exchange Executives
The United States District Court for the Southern District of New York on October 1, 2020, unsealed a criminal indictment against four BitMEX executives for violations of the U.S. Bank Secrecy Act (BSA).1 It is a move that is noteworthy in that the "Department of...
SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office
This past summer, many investors received what looks like a form letter in the mail from their investment firms. At first glance, many investors may have been tempted to pitch that form letter in the recycling bin without thoroughly reading the contents. If the letter...
Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI
Concorde Investment Services in Livonia Proposes to Settle FINRA Allegations of Failure to Supervise a Registered Representative A Livonia, Michigan, Financial Industry Regulatory Authority (FINRA) member, Concorde Investment Services, LLC, submitted a Letter of...
Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm
Wells Fargo Sanctioned by FINRA for Not Supervising Variable Annuity Transaction Switches to Other Company Products In February, Wells Fargo settled a civil lawsuit and criminal prosecution filed ty the U.S. Department of Justice stemming from the 2016 disclosure that...
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...
SEC Files Fraud Charges Involving NAC Foundation / AML Bitcoin – MI Securities Law Firm
Banks are subject to rules which require them to verify the identity of their customers. This is a problem for criminals who have large sums of cash from illegal activities. Increasingly, criminals have turned to cryptocurrency to launder their cash. Chainalysis, a...
SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm
SEC Settlement with Major Investment Firm Results in $5M Fund Benefitting Harmed Wrap Fee Program Investors Investment firm, Morgan Stanley Smith Barney, LLC (MSSB), recently settled charges brought by the U.S. Securities and Exchange Commission (SEC) that the company...
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...
Farmington Hills Broker Charged With Improper Bond Transactions | Michigan
Farmington Hills Broker Discharged from Morgan Stanley amid Allegations of Improper Bond Transactions Robert C. David was a registered broker and investment adviser for Morgan Stanley in the Farmington Hills branch office from June 2009 until March 2019. According to...
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 Charges Healthcare Advertising Firm with Fraud | Michigan Securities Attorney
SEC Charges Former Executives of Healthcare Advertising Firm with $1 Billion Fraud Outcome Health, formerly named ContextMedia, offers their clients, which are primarily pharmaceutical companies, the opportunity to display the client's ads on televisions and other...
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 Charges Spartan Securities Group and Island Capital Management with Fraud
SEC Charges Spartan Securities Group and Island Capital Management with Creating and Selling Fraudulent Companies In recent years, the micro-cap market has seen increased scrutiny by the Securities and Exchange Commission (SEC). On February 20, 2019, the SEC filed a...
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...
SEC Updates List of Firms Using Inaccurate Information Seeking Investors
PAUSE before you invest: Check the Recently Updated SEC List of Firms Using Inaccurate Information to Solicit Investors Several minutes of online research could protect your entire life savings. The U.S. Securities and Exchange Commission (SEC) recently updated its...
Merrill Lynch Pays $8 Million to Settle SEC Charges | MI Securities Law Firm
Merrill Lynch Pays $8 Million to Settle SEC Charges of Improper Handling of "Pre-Released" American Depositary Receipts (ADRs) American Depositary Receipts (ADRs) have been around since J.P. Morgan's predecessor pioneered the concept in 1927 as an easier way to...
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...
Birmingham Michigan Financial Adviser Charged in $4 Million Investment Scam
On August 9, the U.S. Securities and Exchange Commission charged a former registered representative, John C. Maccoll, who was affiliated with the Birmingham, Michigan, branch of UBS Financial Services1, with defrauding brokerage customers out of almost $4 million in...
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...
Southfield Investment Adviser Fined and Barred by the SEC | Michigan Securities Attorney
Broker fined, barred by SEC for cherry-picking By Ryan Neal Investment News SEC issues cease-and-desist order to brokerage, trader Agency says Roger Denha unfairly allocated investment profits to personal, family accounts SEC alleges broker obtained $412,230 in...
SEC Improves Assistance to Investors through New Investor Protection Search Tool and Roundtables with Chairman
In their ongoing effort to improve investor protection, the U.S. Securities and Exchange Commission (SEC) has recently launched two new initiatives. One is a new search tool aimed at helping investors avoid potential investment fraud.1 The other initiative is "Tell...
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....
Cryptocurrency Investment Warning: SEC Halts Alleged Initial Coin Offering Scam
Traditionally when purchasing goods or services, Americans used money, issued by the U.S. government and its fiscal agent, the Federal Reserve System. Then, in 2009, Bitcoin, the first cryptocurrency, was created. Wikipedia defines cryptocurrency as a digital asset...
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...
Recognizing the Signs of Investment Fraud Targeting Federal Retirement Investors
The SEC Warns Against Investment Fraud That Targets Seniors and Federal Retirement Investors In an effort to reduce potential securities investment fraud, the SEC is warning senior investors, retirees, and those with federal retirement investments to be leery of...
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,...
Former Michigan State Representative Under Investigation for Securities Fraud
Former Michigan State Representative, Fulton Sheen, Under Investigation for Securities Fraud Earlier this year, the Michigan Department of Licensing and Regulatory Affairs (LARA), Corporations Securities & Commercial Licensing Bureau (CSCL) issued notices and...
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...
Securities and Licensing Bureau Revokes Registrations of Local Michigan Investment Advisors
Michigan Revokes Registrations of Investment Advisor Representative, Anthony Cherniawski and The Practical Investor LLC After Mulitple Complaints of Significant Financial Losses This September, Michigan LARA’s Corporation Securities & Commercial Licensing Bureau...
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...
Securities and Exchange Commission Cracking Down on KGTA’s Fraudulent Trading Business
The Securities and Exchange Commission in text book fashion filed an emergency civil action in federal court charging principals in KGTA for participating in fraud. The SEC alleged investors were told that KGTA bought and resold refined fuel products, of which did not...
Christopher Tolmacs Banned from Securities Industry for Alleged Promissory Note Fraud
Christopher Tolmacs Allegedly Made Materially Misleading Statements and Omissions in Connection with Lending Arrangements with Customers Arrangements of His Brokerage Firm Christopher Tolmacs was permanently barred from the securities industry following an...
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....
Attorney Detroit Michigan Talks About Prosecution of Securities Fraud
Michigan Fraud Attorney, Peter C. Rageas has always been ready to examine and prosecute securities fraud Our focus on monetary fraud flows from a dedication to longstanding principles and goals that our markets should be fair. In service of these objectives, we have...
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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