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Securities Fraud Attorney Peter C. Rageas, P.C.
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...
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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...
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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...
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Birmingham Financial Adviser is Charged with Stealing $3.7 Million
Stealing other people’s money is a brazen act of violation on many levels. When the act is committed by an investment broker or financial adviser it is investment fraud at its worst. The following article is a top story in the Detroit area that we think you will find...
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Schorsch REIT Listing a Billion-Dollar Disaster
Non traded real estate investment trusts have a history of fraudulent acts. Investors have lost millions due to false portrayals of companies that appear to have value and promise but actually don't. We found the following article in Investment News on this topic...
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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...
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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...
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SEC Debuts Website to Demonstrate Ease of Defrauding Investors
SEC Debuts HoweyCoins.com Website to Demonstrate Ease of Defrauding Investors and to Educate on Scam Warning Signs Investors often are introduced to tempting, but fraudulent, investment offers through solicitations on the World Wide Web. The Securities and Exchange...
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SEC Files Charges in International Investment Scheme
No investment is foolproof or risk free. Your investment advisor or stockbroker has a fiduciary duty to disclose all relevant facts so that you can make an informed decision. Deceptive financial schemes result in massive investment losses. The following article...
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Registered Municipal Advisor Charged with Fraud
A registered municipal advisor and its owner have been charged with defrauding a south Texas school district in connection with three municipal bond offerings. Through misrepresentation, Mario Hinojosa and his wholly owned- municipal advisor, Barcelona Strategies LLC...
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