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Securities Fraud Attorney Peter C. Rageas, P.C.
SEC Charges GCZ Global and Triten Financial Group with a $60 Million Ponzi Scheme
SEC Charges Adam Brothers, GCZ Global and Triten Financial Group with a $60 Million Ponzi Scheme The U.S. Securities and Exchange Commission halted another alleged Ponzi scheme, this one perpetrated by two brothers who lured investors with the promise of up to a 13.5...
Structured Notes and their Risks
A structured note is a debt security that combines multiple financial products into one, such as a bond and a derivative. The return on a structured note is based on the performance of an underlying asset, index, or group of assets, such as equity indexes,...
SEC Adopts T-1 Settlement Cycle
On May 28 the Securities and Exchange Commission (SEC) implemented a newly adopted rule which shortened the standard settlement cycle for most broker-dealer transactions from two business days (T+2) to one business day after the trade date (T+1).1 When the settlement...
Resources for Investors Available from the SEC
The U.S. Securities and Exchange Commission (SEC) not only has broad authority over all aspects of the securities industry but is also charged with protecting investors.1 One of the ways the SEC does this is by making educational resources available to the investing...
Genesis Global Capital Violates Securities Laws
Genesis Global Capital to Pay SEC $21 Million for Violating Securities Laws On March 28 Sam Bankman-Fried, co-founder of the defunct crypto currency exchange FTX was sentenced to 25 years in prison and ordered to pay a $11 billion fine for defrauding FTX users.1 When...
FINRA Finds Potential Violations in Crypto Asset Communications
FINRA Finds Many Potential Violations in Review of Crypto Asset Communications The Financial Industry Regulatory Authority (FINRA) was formed in July 2007 to regulate brokerage firms doing business with United States investors. FINRA is overseen by the U.S. Securities...
West Michigan Financial Advisor Guilty of Embezzling from Clients
On January 23, Jaime Westenbarger, who founded Forest Hills Financial, a financial services firm based in Ada, Michigan, pleaded guilty in Kent County Circuit Court to embezzling client funds. Westenbarger pleaded guilty to two count of embezzlement over $100,000,...
The Failure of the Structured Note. How Risky are They?
A Structured Note is a debt security issued by financial institutions. Its return is based on equity indexes, single equity, a basket of equities, interest rates, commodities, or foreign currencies. The performance of a Structured Note is linked to the return on an...
Risky Stock Causes Losses For Many Investors
Jumia Technologies (JMIA) is an African e-commerce online retailer technology company. It is a company built around a marketplace, logistics service and payment service. The logistics service enables the delivery of packages through a network of local partners while...
JP Morgan Chase Client with Dementia Loses $50 Million
Peter Doelger founded a Boston-based company in the 1970s which helped homeowners nationwide lower their energy bills through a network of contractors tasked with focusing on the homeowners’ attic insulation and windows. Honeywell bought the business in 1995 for an...
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