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Securities Fraud Attorney Peter C. Rageas, P.C.
Overview of the Types of Investment Fraud (Part 1)
Investment fraud in 2025 was on track to continue the steady year-to-year increase that has existed since 2020. Americans lost $3.5 billion in investment fraud and scams in just the first half of 2025 and that figure is projected to rise above the $5.8 billion in...
Focus Areas of SEC Enforcement Actions
The U.S. Securities and Exchange Commission's (SEC) was founded in 1934 during the Great Depression. The SEC's mission is to "protect investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation" with the end goal of making a...
SEC Targets Pennsylvania Firms in $770M ATM Case
There were over 500,000 automated teller machines (ATMs) in the United States in 2023.1 While it might seem that Americans like to pay with credit cards, according to Federal Reserve research the average American carries $67 in cash and has $306 in cash stored...
Avoiding SEC Violations: Resources for Small Businesses
Starting up and operating a small business has many challenges. Knowledge of rules and regulations is one of the most challenging activities for many small business owners. The U.S. Securities and Exchange Commission (SEC) provides a range of resources to help small...
What to Do if You Get a Subpoena from the SEC
The U.S. Securities and Exchange Commission (SEC) is a federal government agency charged with protecting investors and ensuring fair and efficient capital markets, making sure that investment advisors, stock exchanges and other market participants comply with U.S....
FINRA Marks 10 Years of Helping Vulnerable Senior Investors
The Financial Industry Regulatory Authority (FINRA) is a private, not-for-profit membership organization of U.S. broker-dealers that is charged with protecting investors and safeguarding the capital markets.1 FINRA is responsible under federal law for supervising its...
What You Should Know About Self-Directed IRA’s
The U.S. Securities and Exchange Commission (SEC) recently brought an action against a former real estate investment company chief executive officer who they allege defrauded investors of $46 million by selling them fake interests in real estate investment limited...
SEC Warns Investors About Relationship-Based Investment Scams
The U.S. Federal Bureau of Investigation reports that in 2024 alone $672 million dollars was fraudulently taken from victims of confidence/romance scams with those over 60, as a group, reporting the most losses and submitting the most complaints to the FBI’s Internet...
FINRA Cracks Down on Firms Withholding Mutual Fund Fee Waivers
The Financial Industry Regulatory Authority (FINRA) has been focused on investment firms that are not reimbursing their customers for mutual fund sales charge waivers and fee rebates. In December FINRA ordered three firms to pay their customers more than $8.2 million...
Protect Yourself from Deceptive Investment Practices and Firms
Investors are continually looking for ways to increase their profits on investments, especially in periods of economic downturn. Investment opportunities are often pitched to investors through social media posts and investment-related chat groups online. In December...
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